LEI uses

At the G-20 Summit of June 2012, the heads of state and government encouraged "global adoption of the LEI to support authorities and market participants in identifying and managing financial risks" (see paragraph 44 of the G20 Communiqué).

The Global LEI System was established for a large range of potential uses including the following:

In addition to the use of the LEI for derivatives reporting, which has entered into force in major markets, authorities are extending reporting requirements for the LEI, where appropriate, to the banking sector, securities issuance, investment holdings for insurance and funds, and other uses such as identification of firms in credit registers. The ROC and its members remain committed to support the introduction of the Global LEI System as a unique identifier of parties to financial transactions.

ROC members have committed to support the introduction of the Global LEI System for official or international identification purposes.

Examples of laws and regulations can be found in the LEI ROC Progress Report of November 2015, including 48 rules or draft rules using the LEI in 40 jurisdictions (see Annex 1 of the report). The simplified version below shows these 48 examples plus three examples added after the publication of the report (marked as NEW in the first column). Examples are also available on the Global LEI Foundation website (see here). 

                 
  

Jurisdiction    - Authority

  
  

Action    Summary Description

  
  

LEI    is:

  
  

number    of LEIs

  
  

Implementation    by:

  
  

Link    to source

  

Argentina -

Central   Bank of Argentina

[AR01]

Supervision of financial   institutions: Financial   institutions regulated by the Central Bank of Argentina are required to   obtain an LEI (banks and non-banks financial institutions including financial   companies).

Required

80

7   August 2015

http://www.bcra.gov.ar/pdfs/comytexord/a5642.pdf    and http://www.bcra.gov.ar/pdfs/comytexord/b11029.pdf

Australia - ASIC

[AU01]

Derivative reporting Identification of counterparties   in OTC derivative reporting

Requested

A   few thousands

Oct.   2014 to Oct. 2015[1]

http://www.comlaw.gov.au/Details/F2015C00262

Australia - ASIC

[AU02]

Securities transaction reporting: Identification of the client   that originated an order in the reporting of information about securities   transactions from a market participant to a market operator.

Optional

August   2013

 http://asic.gov.au/regulatory-resources/find-a-document/regulatory-guides/rg-223-guidance-on-asic-market-integrity-rules-for-competition-in-exchange-markets/

Canada - Ontario Securities Commission; Manitoba  Securities Commission; Autorité des marchés   financiers (Québec)

[CA01]

Derivative reporting: Identification of each   counterparty, clearing agency, clearing member, broker/clearing intermediary   and electronic trading venue to a transaction in the recordkeeping and   reporting of a derivative transaction subject to the reporting requirements.

Required

16,000-20,000

Reporting   started on 31 October 2014

http://www.osc.gov.on.ca/documents/en/Securities-Category9/rule_20140915_91-507_unofficial-consolidation-derivatives-data-reporting.pdf

http://www.lautorite.qc.ca/files//pdf/reglementation/instruments-derives/reglements/91-507/2013nov14-91-507-avis-publ-en.pdf

http://docs.mbsecurities.ca/msc/irp/en/101715/1/document.do

Canada

Alberta   Securities Commission /British   Columbia Securities Commission / Financial and Consumer Services   Commission / Nova Scotia   Securities Commission / Financial and Consumer Affairs Authority (Saskatchewan)

[CA02]

Derivative reporting: Identification of each counterparty   to a transaction in the recordkeeping and reporting of a derivative   transaction subject to the reporting requirements

Required

Draft   published on:

21.01.2015

60-day comment period expired   March 24, 2015

Implementation   expected in 2016

Paragraph   27(a) and subsection 28(1) of Proposed Multilateral Instrument 96-101

http://www.albertasecurities.com

Canada

Investment   Industry Regulatory Organization of Canada (IIROC)

[CA03]

Fixed income transaction   reporting: IIROC   Dealer Members must confidentially report details of all fixed income   transactions to IIROC, including the LEI (if the entity has one) of the   reporting Dealer Member and of the trade counterparty if that counterparty is   another IIROC Dealer Member, Bank, Inter-Dealer Bond Broker (IDBB), or   Alternative Trading System (ATS). If the counterparty is a customer, the LEI   of the customer may be provided optionally

Requested

Less   than 300

1   November 2015

http://www.iiroc.ca/Documents/2014/1e5d1c52-fd61-4e93-b16f-abc26e72234c_en.pdf

Canada

Canadian   Securities Administrators

[CA04]

(NEW)

Securities regulation: entities who rely on exemptions to   file a prospectus to distribute securities are required to file a report with   the relevant Canadian securities commissions which include the LEI of the   issuers if they have one

Requested

Draft   published for consultation on 13 Aug. 2015, comments invited by 13 Oct. 2015

http://www.osc.gov.on.ca/en/SecuritiesLaw_rule_20150813_45-106_reports-exempt-distribution.htm

EU - European Banking Authority

[EU01]

Banking supervision: Competent authorities in Member   States should require that all credit and financial institution in the   European Union subject to reporting obligations under Regulation (EU) No   575/2013 obtain an LEI and use it to fulfil their reporting obligations

Required

5,000   - 6,000

31   March 2014 to 31 December 2014 depending on the institution

https://www.eba.europa.eu/documents/10180/561173/EBA-REC-2014-01+%28Recommendation+on+the+use+of+the+Legal+Entity+Identifier%29.pdf

EU - European Banking Authority

[EU02]

Banking supervision:    reporting to EBA of data on Large exposures, as well as identifying   entities within the consolidated group. The EBA Q&A of 7 March 2014   admits that the LEI field can be left empty when an LEI is not available,   provided the alternative code field is used

Requested

March   2014

https://www.eba.europa.eu/single-rule-book-qa?p_p_id=questions_and_answers_WAR_questions_and_answersportlet&p_p_lifecycle=0&p_p_state=normal&p_p_mode=view&p_p_col_id=column-1&p_p_col_pos=1&p_p_col_count=2&_questions_and_answers_WAR_questions_and_answersportlet_jspPage=%2Fhtml%2Fquestions%2Fviewquestion.jsp&_questions_and_answers_WAR_questions_and_answersportlet_viewTab=1&_questions_and_answers_WAR_questions_and_answersportlet_questionId=427910&_questions_and_answers_WAR_questions_and_answersportlet_statusSearch=1

EU - European Insurance and   Occupational Pensions Authority (EIOPA)

[EU03]

Insurance supervision

Competent   authorities in Member States should require that all insurance institutions   and institutions for occupational retirement provision (IORP) under their   supervision obtain an LEI, that the LEI be consistently used for national   reporting, and used for reporting to EIOPA

Required

5,000-6,000   (insurance);

140,000   to 250,000 (IORP)

By   30 June 2015 for institutions subject to Solvency II; by 30 June 2016 for   other institutions

https://eiopa.europa.eu/Publications/Guidelines/LEI_GLs_EN_ORI.pdf

EU - European Insurance and   Occupational Pensions Authority (EIOPA)

[EU04]

Insurance Supervision

For   institutions reporting Solvency II information, national competent   authorities should request that all such institutions obtain a LEI code for   all entities in the scope of the group as defined under article 212 (1) (c)   of Directive 2009/138/EC of the European Parliament and of the Council of 25   November 2009 on the taking up and pursuit of the business of Insurance and   Reinsurance (Solvency II Directive), on which information is required under   their reporting obligations

Required

Same   as above

https://eiopa.europa.eu/Publications/Guidelines/LEI_GLs_EN_ORI.pdf

EU - European Securities and Markets   Authority (ESMA)

[EU05]

Derivative transactions reporting

Identification   of the entities involved in a derivative contract (counterparties;   beneficiary; broking entity; CCP; clearing member; entity submitting a   report) and of the underlying of a derivative contract.

Trade Repositories supervised by   ESMA are instructed to validate the LEIs used in regulatory reporting,   including format validation and validation against the GLEIF database. See   also section 6.1 on this report on the measures taken to prevent the use of   lapsed LEIs in reporting (footnote40)    TRs should reject the reports that fail their validation checks.

Required

Over   350,000 counterparties including individuals

12   February 2014

http://eur-lex.europa.eu/LexUriServ/LexUriServ.do?uri=OJ:L:2012:352:0020:0029:EN:PDF

ESMA   validation rules for to be applied by Trade Repositories: http://www.esma.europa.eu/system/files/emir_validation_table.xlsx.

ESMA consultation on review of standards   for reporting:

http://www.esma.europa.eu/system/files/esma-2014-1352_consultation_paper_on_the_review_of_emir_reporting_standards_under_article_9_0.pdf

EU - ESMA

[EU06]

Identification of managers of   alternative investment funds

Requested

7,000

August   2014 (for NCAs)

http://www.esma.europa.eu/content/Guidelines-reporting-obligations-under-Articles-33d-and-241-2-and-4-AIFMD-0

EU - ESMA

[EU07]

Identification of credit rating   agencies in the reporting of fees charged   to their clients

Required

40

Q1   2016

http://eur-lex.europa.eu/legal-content/EN/TXT/?qid=1428494389130&uri=CELEX:32015R0001 (Annex I, field 2 of tables 1 to 4)

EU - ESMA

[EU08]

Credit rating agencies regulation

Identification   of (i) credit rating agencies; (ii) entities for which credit ratings have   been issued (iii) in case of  the subsidiary   of a rated parent, the parent entity; (iv) in case of credit ratings on   structured finance instruments, the identification of the originator.

Required if   entity is eligible

(but alternatives envisaged until LEI available / more widely used)  

Maximum   50,500

(multiple   counts for entities rated by several agencies)

March   2016

http://eur-lex.europa.eu/legal-content/EN/TXT/?qid=1428495271399&uri=CELEX:32015R0002

EU - ESMA

[EU09]

Financial market regulation

Identification   of the issuer of structured finance instruments

Required

-

1   January 2017

http://eur-lex.europa.eu/legal-content/EN/TXT/?qid=1428504312070&uri=CELEX:32015R0003

EU - ESMA

[EU10]

Financial market regulation

Obligation   for European trading venues and systematic internalisers to supply financial   instruments reference data, including the LEI of the issuer of financial instruments that aresubject to transaction reporting   obligations under Art. 26 MiFIR

Required

At   least 7000 (securities admitted to trading on a regulated market)

January   2018 (Draft RTS submitted to European Commission on 28 September 2015)

http://www.esma.europa.eu/system/files/2015-esma-1464_annex_i_-_draft_rts_and_its_on_mifid_ii_and_mifir.pdf

Draft RTS 23

EU - ESMA

[EU11]

Transaction   reporting in financial instruments: identification of the investment firms   and their clients   subject to transaction reporting obligation under Art. 26 MiFIR[2].

Investment   firms are required to ensure that the reference data related to their LEI is   renewed according to the terms of any of the accredited Local Operating Units   of the GLEIS.

Investment   firms are required to obtain the LEI of their clients, validate the format   and content of the LEI code against ISO 17442 and the global LEI database   maintained by the Central Operating Unit. Investment firms cannot provide a   service that would trigger the obligation of an investment firm to submit a   transaction report for a transaction entered into on behalf of a client who   is eligible for an LEI, prior to the LEI being obtained from that client.

Required   (if the entity is eligible for an LEI/if the client is a legal entity)

January   2018 (Draft RTS submitted to European Commission on 28 September 2015)

http://www.esma.europa.eu/system/files/2015-esma-1464_annex_i_-_draft_rts_and_its_on_mifid_ii_and_mifir.pdf

Draft RTS 22, Article 5 and Article 13

EU - ESMA

[EU12]

Financial market regulation

Order record keeping requirements   for EU trading venues:   identification of members or participants in the venue, non-executing brokers   and clients that submit orders.

Required   (same as above for clients)

January   2018 (Draft RTS submitted to European Commission on 28 September 2015)

http://www.esma.europa.eu/system/files/2014-1570_cp_mifid_ii_part_2.pdf

Draft RTS   34, Art. 3

EU - ESMA

[EU13]

Financial market regulation

Execution   venues must publish data on the quality of execution of transactions - the   execution venues to be identified by LEI or Market Identifier Code.

Investment   firms must publish data on the identity of top five execution venues for each   class of financial instruments - the execution venues to be identified by LEI   or Market Identifier Code.

purely   optional/other identifiers allowed even if the entity has an LEI

January   2018 (Draft RTS submitted to European Commission on 28 September 2015)

http://www.esma.europa.eu/system/files/2015-esma-1464_annex_i_-_draft_rts_and_its_on_mifid_ii_and_mifir.pdf

Draft RTS   27 and 28.

EU - ESMA

[EU14]

Financial market regulation

Third   country firm applying for the provision of investment services or performance   of activities in the EU shall submit to ESMA their LEI

requested

January   2018  

(Draft   RTS submitted to European Commission on 30 June 2015)

http://www.esma.europa.eu/system/files/2015-esma-1006_-_mifid_ii_final_report_on_mifid_ip_technical_standards.pdf

Draft RTS   under Article 46(7) of MiFIR

EU -    ESMA

[EU15]

Financial market regulation

For   reporting of Managers' dealing: identification of issuer, emission allowances   market participants, auction platform, auctioneer or auction monitors   concerned by the reporting and public disclosure of the transactions   conducted by their managers

Required

Draft published on:

28   September 2015

Implementation   by 3 July 2016

http://www.esma.europa.eu/system/files/2015-esma-1455_-_final_report_mar_ts.pdf

Annex XIV

EU - ESMA

[EU16]

Financial market regulation: Identification of issuers whose   securities are admitted to trading on regulated markets

Required   (if eligible to an LEI)

7,000

Implementation   by 1 Jan. 2017 (Draft published25 September 2015)

http://www.esma.europa.eu/system/files/2015-1460_-_esma_final_report_on_draft_rts_on_eeap.pdf

EU - ESMA

[EU17]

Financial market regulation:

Identification   of

(1)   Central Securities Depositories (CSDs), CSD participants, settlement banks,   issuers,

(2)   settlement internalisers,

(3)   CSD participants' clients (legal persons) where known to the CSD

Required

(except   use (3), optional

40   CSDs;

26,000   CSD participants;

7,000   issuers

(1)   and (3) End 2016/ 2017 (depending on the date of the authorisation of the   CSDs under CSDR)

(2)   End 2017/early 2018 (2 year phase in from publication of final rule)

(Draft   published 28 September 2015)

http://www.esma.europa.eu/system/files/2015-esma-1457_-_annex_ii_-_csdr_ts_on_csd_requirements_and_internalised_settlement.pdf

EU- Joint Committee of the European   Supervisory Authorities (ESMA, EBA, EIOPA)

[EU18]

Financial conglomerate   supervision: reporting   of significant transactions between group entities, and of significant risk   concentration by counterparties and groups of interconnected counterparties,   geographical areas, economic sectors, currencies, identifying the names,   company register numbers or other identification numbers of the relevant   group companies of the financial conglomerate and their respective counterparties,   including LEI, where applicable

Requested

Final   text of 28 July 2015; to enter into force 20 days after its publication in   the Official Journal of the European Union

COMMISSION DELEGATED REGULATION   (EU) -/... of 28.7.2015 supplementing Directive 2002/87/EC of the European   Parliament and of the Council with regard to regulatory technical standards   specifying the definitions and coordinating the supplementary supervision of   risk concentration and intra-group transactions http://ec.europa.eu/transparency/regdoc/rep/3/2015/EN/3-2015-5067-EN-F1-1.PDF 

EU - ESMA

[EU19]

Financial market regulation

For   reporting of suspicious transactions and orders to authorities:  identification of (i) the reporting entity   and (ii) the suspected entity

(as   part of the prevention of insider dealing, market manipulation or attempted   insider dealing or market manipulation)

requested

Draft   published on:

28   September 2015

Implementation   by 3 July 2016

http://www.esma.europa.eu/system/files/2015-esma-1455_-_final_report_mar_ts.pdf (Annex XI)

Hong Kong-HKMA

[HK01]

Derivative transaction reporting: collecting, keeping and   maintaining details of certain OTC derivatives transactions by banks   (interest rate swap and non-deliverable forward). The interim regime is   expected to be replaced by a new regime in 2015.

Requested

180   banks

5   Aug. 2013

http://www.hkma.gov.hk/media/eng/doc/key-information/guidelines-and-circular/2013/20130628e2.pdf

Japan-JFSA

[JP01]

NEW

Derivative transaction reporting:

With   regard to OTC derivative transactions reported to the trade repositories under   the Financial Instruments and Exchange Act and the Cabinet Office Ordinance   on the Regulation of OTC Derivatives, etc., the LEI of parties to the   transaction is requested if available. Such request is prescribed in the Instructions   on Trade Reporting for trade repository, which is currently not published.

Requested

over  500 counterparties

31   Oct 2015[金融庁1] 

Financial Instruments and Exchange Act

http://www.japaneselawtranslation.go.jp/law/detail/?id=2355&vm=04&re=01&new=1

Cabinet Office Ordinance on the   Regulation of OTC Derivatives, etc.

http://www.japaneselawtranslation.go.jp/law/detail/?id=2450&vm=04&re=01&new=1

Luxembourg -   CSSF

[LU01]

 

NEW

Financial market regulation

The   LEI of all Luxembourg domiciled   undertakings for collective investment subject to the law of 17 December   2010 ("UCI law"), specialised investment funds (SIFs) subject to the law of   13 February 2007 ("SIF law") and investment companies in risk capital   ("SICARs") subject to the law of 15 June 2004 ("SICAR law") should be   included the U 1.1 reporting, field 2040, if these UCIs have been allocated   an LEI.

Requested

some   16,700 funds and sub-funds, not all of which may have an LEI

30   June 2016

CIRCULAR CSSF   15/627 of 3 December 2015

http://www.cssf.lu/fileadmin/files/Reporting_legal/SOC_Banques_OPC/Guidelines_U1_1_reporting.pdf 

Mexico - Banco de   Mexico

[MX01]

Credit institutions and their   counterparts

According   to deadlines to be set by Banco de Mexico

Required

Text   published in September 2015; implementation deadlines to be set

http://www.banxico.org.mx/sistema-financiero/informacion-general/codigo-lei-referencia-banco-m001.html

Russia -Central Bank of Russia

[RU01]

OTC Derivative transaction   reporting: counterparty   identification starting withcredit   organizations, broker-dealers, asset managers, depositories, book runners,   private pension funds, investment funds, trade organizers, clearing   organizations, insurance companies

Required

(only   for FX swaps currently; for all OTC derivatives from Oct. 2015)

1,000   to 2,000

1 Jan 2015 for counterparties   listed in column 1;

1 July 2015 for   other counterparties

http://cbr.ru/sbrfr/contributors/repositories/3253-U.pdf

Russia-Central Bank of Russia

[RU02]

Financial market regulation

Identification   of securities owners that are entities that perform the record keeping of   securities ownership (nominee holders, depositories, including foreign   entities).

Required

500   to 700

1   Aug 2014

http://pravo.gov.ru/proxy/ips/?docbody=&nd=102040905&intelsearch=39-%D4%C7

Singapore -

[SG01]

Derivative transaction reporting: identification of reporting entities,   counterparties, clearing entity of interest rate derivatives contract or   credit derivatives contract traded in Singapore or booked in Singapore

Required   for specified persons

Entered   into force on 31 October 2013

Securities   and Futures (Reporting of Derivatives Contracts) Regulations 2013

http://www.mas.gov.sg/~/media/MAS/Regulations%20and%20Financial%20Stability/Regulations%20Guidance%20and%20Licensing/Securities%20Futures%20and%20Fund%20Management/Regulations%20Guidance%20and%20Licensing/Regulations/Reporting%20Regs.pdf

Switzerland [CH01]

Derivative transaction reporting:

Identification   of reporting entities, reporting and non-reporting counterparties, in certain   instances: identification of clearing member of reporting counterparty,   identification of CCP

Required

 

Draft   published; implementation expected by 1 January 2016

Annex   2 of draft Implementing ordinance to the Swiss Financial Markets   Infrastructure Act, published on August 20, 2015 by the Swiss Federal Council  

-   German (p. 65): http://www.news.admin.ch/NSBSubscriber/message/attachments/40658.pdf

-   French: (p. 68) http://www.news.admin.ch/NSBSubscriber/message/attachments/40661.pdf

Explanatory   report on the ordinance, respectively:

http://www.news.admin.ch/NSBSubscriber/message/attachments/40659.pdf 

http://www.news.admin.ch/NSBSubscriber/message/attachments/40662.pdf

US - SEC

[US01]

Financial market regulation

Identification   of investment advisers registered or reporting with SEC (Form ADV)

Requested

15'000   (1000 LEIs reported

March   2012

17   CFR Parts 275 and 279, "Rules Implementing Amendments to the Investment   Advisers Act of 1940; Final Rule," 76 Fed. Reg. 42950, July 19, 2011.  Link to Source.

US - SEC

and   CFTC

[US02]

Financial market regulation:

Identification   of investment advisers to private funds (includes the reporting fund and any   parallel fund and certain commodity pool operators and commodity trading   advisors; also large liquidity fund advisers (USD 1 bn or more in combined   MMF and large liquidity fund assets). (Form PF)

Requested

2,700   advisers and 25,000 private funds

Data   field as of December 2012, reported beginning March 2013

17 CFR Part 4 and 17 CFR Parts 275 and 279, "Reporting by Investment Advisers to Private   Funds and Certain Commodity Pool Operators and Commodity Trading Advisors on   Form PF; Joint Final Rules," 76 Fed. Reg. 71128, November 16,   2011.  Link to Source

Form   PF (Paper Version).  Link to Source

US - CFTC

[US03]

Derivative transaction reporting: identification of each   counterparty to any swap subject to the jurisdiction of the CFTC in all   recordkeeping and reporting

Required

40,000

31   Dec .2012 (applies also to non-expired swaps   entered into before that date)

17   CFR Part 45, "Swap Data Recordkeeping and Reporting Requirements; Final   Rule," 77 Fed. Reg. 2136, January 13, 2012.    Link to Source.

17   CFR Part 46, "Swap Data Recordkeeping and Reporting Requirements:   Pre-Enactment and Transition Swaps; Final Rule," 77 Fed. Reg. 35200, June 12,   2012.  Link to Source

US - CFTC

[US04]

Derivative transaction reporting: Identification of filing   counterparty in the annual filing of physically delivered commodity options   exempted from the reporting above (Form TO).

Requested

Same   population as above

1   March 2014

"Commodity   Options; Final Rule and Interim Final Rule," 77 Fed. Reg. 25320, April 27,   2012.  Link to Source.

"Agency Information Collection   Activities: Proposed Collection, Comment Request: Form TO, Annual Notice   Filing for Counterparties to Unreported Trade Options; Notice," 77 Fed. Reg.   74647, December 17, 2012.  Link to Source.

Relief from the Reporting   Requirements of § 32.3(b)(1) of the Commission's Regulations, and Certain   Recordkeeping Requirements of § 32.3(b), for End Users Eligible for the Trade   Option Exemption, CFTC Staff No-Action Letter No., 13-08, April 5, 2013.  Link to Source.

US - SEC and self regulatory   organisations

[US05]

Financial market regulation:

Consolidated   tracking system or consolidated audit trail system to capture customer and   order event information for orders in national market system securities

Optional/Other   identifiers allowed even if entity has an LEI

TBD

(final   text published on 1 Aug. 2012)

17   CFR Part 242, "Consolidated Audit Trail; Final Rule," 77 Fed. Reg. 45722,   August 1, 2012.  Link to Source 1Link to Source 2

US - National Association of   Insurance Commissioners (NAIC)

[US06]

Insurance supervision:

Identification   of mortgagers, counterparties, depositories issuers of stock and bonds in   which the insurance company is investing, for reporting to the supervisor.

Requested

31   March 2013

2013   NAIC Annual Statement and 2014 Quarterly Statement Filing Guidance for the   Legal Entity Identifier (LEI) Electronic Only Column in the Investment   Schedules," NAIC Blanks (E) Working Group, 2012-30BWG, August 11, 2012.  Link to Source 1Link to Source 2.

US - CFTC

[US07]

Derivative transaction reporting: Trader identification/market   participant data for the reporting of certain trading accounts active in   designated contract markets or swap execution facilities. Form 102 requires   the reporting party to provide the LEI (if any) of the reporting party and of   various other parties reportable on the form, such as account owners,   controllers, and originators.

Requested

36000   (may overlap CFR part 45)

2   phases:

1   Oct 2015

1   Feb. 2016

(entered   into force on 1.10 2014)

17   CFR Parts 15, 17, 18 and 20, "Ownership and Control Reports, Forms 102/102S,   40/40S, and 71; Final Rule," 78 Fed. Reg. 69178, November 18, 2013.  Link to Source

US-SEC and Municipal Securities   Rulemaking Board (MSRB)

[US08]

Financial market regulation: registration of all   MSRB-regulated entities (brokers, dealers, municipal securities dealers and   municipal advisors)

(Form   A 12)

Optional/other   identifiers allowed even if entity has an LEI

2162   MSRB registrants (26 provided LEI)

10   Aug 2014

Exchange   Act Release No. 34-71616; File No.   SR-MSRB-2013-09 (February 26, 2014).  Link to Source 1Link to Source 2Link to Source 3.

Guidance on the MSRB Municipal   Advisor Registration Process, MSRB Regulatory Notice 2014-10, May 12,   2014.  Link to Source.  

MSRB Registration Manual for   Dealers and Municipal Advisors, July 2014.    Link to Source.

US - SEC

[US09]

Financial market regulation

Identification   of the reporter and of securities held by the reporter or subject to repo, in   the monthly reporting by Money Market   Funds (MMF) (Form N-MFP)

Requested

590   reporting entities. Unspecified for securities reported

16   April 2016

17 CFR Parts 230, 239, 270, 274 and 279, "Money Market Fund Reform; Amendments to   Form PF; Final Rule," 79 Fed. Reg. 47736, August 14, 2014.  Link to Source.

US - CFPB Consumer Financial   Protection Bureau

[US10]

Financial market regulation

Reporting   of universal loan identifier  including   the LEI of the home mortgage lender

Required

7000   to 10000

Draft   published on 29 August 2014

12 CFR Part 1003, "Home Mortgage   Disclosure (Regulation C); Proposed Rule with Request for Comment," 79 Fed.   Reg. 51732, August 29, 2014.  Link to Source

US - SEC

[US11]

Financial market regulation: rated   entities

Identification   of obligors rated by Nationally Recognized Statistical Rating Organisations   (NRSROs), or issuers whose securities are rated by NRSROs

Requested

10   NRSRO (unspecified for rated entities)

15   June 2015

17 CFR Parts 232, 240, 249, and 249b,   "Nationally Recognized Statistical Rating Organizations; Final Rule," 79 Fed.   Reg. 55078, September 15, 2014.  Link to Source.

US - Six agencies

[US12]

Financial market regulation:   securitized assets

Identification   of the obligor of loans or asset held or to be held by an open market   collateralized loan obligation (CLO), in the information provided to   potential investors

Requested

Unknown

24   Dec 2016

12 CFR Part 43, 12 CFR Part 244,   12 CFR Part 373, 12 CFR Part 1234, 12 CFR Part 246 and 24 Part 267, "Credit   Risk Retention; Final Rule," 79 Fed. Reg. 77602, December 24, 2014.  Link to Source.

US-Treasury

[US13]

Financial market regulation and   bank supervision:   identification of counterparties of certain entities ("records entities")   that are parties to an open qualified financial contract (QFC) or guarantee,   support or are linked to an open QFC and meet certain size or other threshold   condition

Not   determined yet

Unknown

Draft   published on 7 January 2015

31 CFR Part 148, "Qualified   Financial Contracts Recordkeeping Related to Orderly Liquidation Authority;   Proposed Rule," 80 Fed. Reg. 966, January 7, 2015.  Link to Source

US-SEC

[US14]

Derivative transaction reporting: Identification of persons   involved in security-based swaps that are reported to  security-based swap data repositories   (registered SDRs)

Required   for participants in registered SDRs

At   least 3500

TBD   (Draft compliance dates published on 19 March 2015)

17 CFR Part 242, "Regulation SBSR-Reporting and Dissemination   of Security-Based Swap Information; Final rule," 80 Fed. Reg. 14564,   March 19, 2015.  Link to Source.

17 CFR Part 242, "Regulation SBSR-Reporting and Dissemination   of Security-Based Swap Information, Proposed Rule," 80 Fed. Reg. 14740, March   19, 2015.  Link to Source.

US-Fed Board

[US15]

Financial market regulation and   bank supervision:   identification of all banking and non-banking reportable entities in forms FR   Y-6, FR Y-7 and F Y 10.[3]   Top tier entities are already required to report their LEI since 2014.

Requested

125000

31   December 2015 Sept. 2015 (Final approval 2 July 2015)

Proposed Agency Information   Collection Activities; Comment Request," Fed. Reg., 15009, March 20,   2015.  Link to Source

Notice of final approval,   Fed. Reg., 38202, 2 July 2015:   http://www.gpo.gov/fdsys/pkg/FR-2015-07-02/pdf/2015-16247.pdf

US-SEC

[US16]

Financial   market regulation: registered investment companies

SEC proposed new rules and forms,   and amendments to existing rules and forms, to modernize the reporting and   disclosure of information by registered investment companies. New proposed   reporting forms require or request LEIs.

The SEC proposal, if adopted,   would require each fund to report the LEI of: (i) the registered investment   company, and (ii) each series (i.e.,   the fund). The proposed forms also request the LEI, if any and as applicable,   of various counterparties, issuers of investments held by the funds, and   various service providers of the fund.

Approximately 3,000 registrants   (including approximately 16,500 series thereof)

Draft published on 12 June 2015

"Investment Company Reporting   Modernization; Proposed Rule," 80 Fed. Reg., 33590, June 12, 2015.  Link to Source.

US - Federal Energy Regulatory   Commission (FERC)

[US17]

Energy Market Regulation:

The   Federal Energy Regulatory Commission (FERC) proposes to have electric market   participants report their "Connected Entities" using LEIs.  According to the proposed rule, FERC   proposes "that regional transmission organizations (RTOs) and independent   system operators (ISOs) require their market participants to obtain LEIs, and   to report their own LEI and the LEI of each of their Connected Entities, if   the Connected Entity has obtained one."

Required   in some parts and

Requested "if the entity has one"   in other parts

Draft   published on 29 September 2015

"Collection of   Connected Entity Data From Regional Transmission Organizations and   Independent System Operators," 80 Fed. Reg., 58382, September 29, 2015.  Link to Source.



[1]    Depending on the reporting entity and the type of derivative instrument

[2]    Regulation EU 600/2014; the  reporting obligation applies to: "a) financial instruments which are admitted to trading or traded on a trading venue or for which a request for admission to trading has been made; (b)  financial  instruments where the underlying is a financial instrument traded on a trading venue; and (c)  financial  instruments where the underlying is an index or a basket composed of financial instruments traded on a trading venue. The obligation shall apply to transactions in financial instruments referred to in points (a) to (c) irrespective of whether or not such transactions are carried out on the trading venue.

[3]    Annual Report of Holding Companies; Annual Report of Foreign Banking Organizations; Report of Changes in Organizational Structure for Bank holding companies (BHCs) and savings and loan holding companies (SLHCs) (collectively, holding companies (HCs)), securities holding companies, foreign banking organizations (FBOs), state member banks unaffiliated with a BHC, Edge Act and agreement corporations, and nationally chartered banks that are not controlled by a BHC (with regard to their foreign investments only).


 [金融庁1]一度、実際の日付を入れてください。

                  


[1]    Depending on the reporting entity and the type of derivative instrument

[2]    Regulation EU 600/2014; the  reporting obligation applies to: "a) financial instruments which are admitted to trading or traded on a trading venue or for which a request for admission to trading has been made; (b)  financial  instruments where the underlying is a financial instrument traded on a trading venue; and (c)  financial  instruments where the underlying is an index or a basket composed of financial instruments traded on a trading venue. The obligation shall apply to transactions in financial instruments referred to in points (a) to (c) irrespective of whether or not such transactions are carried out on the trading venue.

[3]    Annual Report of Holding Companies; Annual Report of Foreign Banking Organizations; Report of Changes in Organizational Structure for Bank holding companies (BHCs) and savings and loan holding companies (SLHCs) (collectively, holding companies (HCs)), securities holding companies, foreign banking organizations (FBOs), state member banks unaffiliated with a BHC, Edge Act and agreement corporations, and nationally chartered banks that are not controlled by a BHC (with regard to their foreign investments only).