Nasdaq Compliance Hub

The BCRA issued changes to the S6 Minimum Cash report deleting one of the items and adjusting formulas and validations accordingly.

APRA remade Prudential Standard APS 117 Capital Adequacy: Interest Rate Risk in the Banking Book (Advanced ADIs), following a consultation that received no submissions.

The Stock Exchange Act and trading rules of Wiener Börse AG were enacted to counteract preemptive market abuse and facilitate the exposure of cases.

The Law of 2 August 2002 was developed to regulate securities and other derivate and financial contracts for differences to combat market manipulation.

The Banco Central do Brasil (BCB) modified the layout of document 3040. Some fields were changed from mandatory to optional and some fields were discontinued.

The Measures Against Market Abuse with Financial Instruments Act was developed to govern insider dealing and financial instruments market manipulation.

The Office of the Superintendent of Financial Institutions (C-OSFI) Issues its Semi-Annual Risk Outlook for 2024-2025.

The Securities Market Act and the Competition Act govern specific public offerings and promote free competition in the markets. 

The Congress of Colombia developed Law 964 to set rules for regulating the national government's activities in managing resources in the public securities market.

The Capital Market Act transposes EU legislation into Croatian law; it regulates the operations of investment firms, market operators, and settlement system operators.

Act No. 15 and the Prague Stock Exchange Trading rules address the implementation of EU regulations in the capital market.

Danmarks Nationalbank shared a draft specification (including XSD schema) with reporting entities for future Microeconomic Database for Credit and Deposits (MIKI) reporting, effective from 30 September 2026.

The Capital Market Law No. 95 regulates the capital markets in Egypt and grants the CMA authority to ensure the execution and enforcement of securities market legislation and regulation.

The Parliament of Estonia issued the Securities Market Act to regulate the public offer of securities and their admittance to trading on regulated securities markets.

The European Banking Authority (EBA) updated its list of Q&As by adding six new ones that provide clarifications on questions related to credit risk, authorization and registration, etc.

The Securities Markets Act governs the issuance of securities to the public and the prevention of market abuse and supervision of the securities market.

The ACPR published an updated list of discount rules, validation checks, and test instances for RUBA taxonomy, impacting the following modules: RUBA G, RUBA B, RUBA K & RUBA E.

On October 10, 2024, the BBK updated the technical specifications for AnaCredit reporting, including revisions to the code lists CL_BBK_ISO3166_NUTS_DSJNT_NA and CL_BBK_ISO4217. These changes are scheduled to take effect in January 2025.

The Bank of International Settlements (BIS) Basel Committee Issues a Paper, "Quantum Computing and the Financial System: Opportunities and Risks."

The HCMC is responsible for the oversight and regulation of the capital market sector of Greek financial services. Greece has transposed the EU’s MAR into law.

The HKMA released an updated version of the Return of Certificate of Compliance (MA(BS)1F(a), MA(BS)1F(b), and MA(BS)28).

The Hungarian Parliament enacted Act CXX of 2011 on the Capital Market to promote capital market development, foster transparency, and promote global competition.

The Irish Revenue Commissioners ("Revenue") updated "Filing Guidelines for DAC2-Common Reporting Standard (CRS) Part 38-03-26."

The Bank of Italy shared Clarification on reporting of usage right. This communication clarifies the criteria to be followed for reporting rights of use relating to movable and immovable assets subject to leasing in the Account Matrix items 58875 (PURCHASE OF REAL ESTATE) and 58880 (PURCHASE OF MOVABLE GOODS).

The Financial Instruments and Exchange Act (FIEA) is the main statute codifying securities law and regulating securities companies in Japan. 

The Financial Instrument Market law facilitates investor protection, stability of the financial instrument market and equal access to information and opportunities. 

Law No X-1023 and Law No X-104 of the Republic of Lithuania Law on Markets in Financial Instruments harmonize the regulation of markets with the relevant legal acts of the EU. 

The Commission de Surveillance du Secteur Financier (CSSF) has published Circular 24/42 updating reporting requirements for the FGDL report. The changes are effective from September 30, 2024.

The Central Bank of Malta updated technical documentation for AnaCredit reporting, publishing a new version of AnaCredit Reporting Tables and Data Dictionary.

The Comisión Nacional Bancaria y de Valores (CNBV) made several updates to the R04C-0431, R04C-0433, R28A-2811, R28A-2813 and R28A-2815 reports.

TradeTalks explores the complexity of the power grid and highlights Mekala Krishnan, Partner at McKinsey Global Institute, who shares her insights on navigating the energy transition. 

The De Nederlandsche Bank (DNB) published an update of the MESREP taxonomy, version 3.0.0. This taxonomy version applies to reporting periods from the first quarter of 2025.

TradeTalks explores the latest developments with climate technology and highlights Tyler Rosenlicht, Head of Natural Resource Equities at Cohen & Steers, who shares his outlook for the energy market and how should investors be thinking about their energy strategies.

The Investments and Securities Act provides for the establishment of the SEC of Nigeria and its power over the capital market.

The Securities Trading Act lays the basis for secure, orderly and efficient trading in financial instruments. 

The Organization for Economic Co-operation and Development (OECD) released the FAQs, XML Schema v1.0 and User Guide v1.0 for the Crypto-Asset Reporting Framework (CARF).

The Securities Market Law, Legislative Decree No. 861 promotes the orderly development and transparency of the securities market and protection of investors.

The BSP published consultation on amendments to the prudential reports of BSP-Supervised Financial Institutions on Material Related Party Transactions (RPTs) and Project Finance Exposures.

The NBP has updated the technical specifications for BoP reporting templates.

The Portuguese Securities Code regulates the securities markets in Portugal and transposes EU law into Portuguese law. 

The Market Abuse Law of 2016 transposes MAR into Cyprus’ law. The provisions of this law applies within the scope provided for in Article 2 of MAR.

The Capital Market Law No. 297 regulates the establishment and operation of financial instruments markets, and the institutions and operations specific to them.

The Market Conduct Regulations are based on the Capital Market Law, with articles detailing the prohibition of market manipulation, insider trading, and liability for acts of others.

The Securities and Futures Act governs the regulation of activities and institutions in the securities and derivatives industry.

The Act on Securities and Investment Practices regulates securities, investment services and some contractual issues involving securities. 

The Securities Market Agency supervises Slovenia’s financial markets, and the country has transposed EU regulations into its law. The Ljubljana Stock Exchange Rules cover market abuse.

The Financial Markets Act provides for the regulation of financial markets; it covers regulation and controls securities trading and prohibits market abuse.

On October 8, 2024, the Banco de España (BdE) updated the validation rules for DRVN and CMR3 modules. The changes are effective from September 30, 2024.

Following its previous update, the SCB shared an updated XSD schema for KRITA reporting. All changes will take effect on December 31, 2024.

The SNB has introduced a new method for calculating Current Account Balances for Minimum Reserves reporting.

The Federal Law No. 4 of 2000 Concerning the U.A.E. Exchange & Commodity Market and its Commission established the Securities and Commodities Authority (SCA) in UAE.

The Financial Services and Markets Act is the U.K. legislation under which bodies corporate, partnerships, individuals and unincorporated associations are permitted to carry on various regulated financial activities. 

The Federal Financial Institution Examinations Council (FFIEC) Issues a Federal Register (2024-23125) Revising Dates for Re-proposed Changes to the Foreign Branch Report of Condition (FFIEC 030) for Quarterly Filers.