Regulatory Timeline

The BIS author profile is a reference-data update, not a new regulatory requirement. It confirms Alexandre Tombini’s role, appointment date, and prior institutional experience relevant to BIS Americas engagement and policy monitoring.

The European Commission has listed a Have Your Say initiative on green-listing certain waste for shipments to recovery between EU Member States. No binding operational change, adoption date or effective date is visible in the supplied initiative extract; businesses should treat this as an early-stage regulatory monitoring item.

The SEC published notice of TXSE’s immediately effective fee filing to implement, on behalf of CAT LLC, Historical CAT Assessment 1A for CAT Executing Brokers to recover remaining uninvoiced historical CAT costs.

The SEC settled administrative proceedings against Dada Nexus Limited after finding material overstatements in Form 6-K earnings releases, books-and-records violations, and deficient internal accounting controls relating to online advertising and marketing transactions.

The FCA has opened Quarterly Consultation Paper No. 53, seeking feedback by 12 October 2026 on proposed Handbook amendments across retail investments, banking conduct, cryptoassets, complaints reporting, Lloyd’s complaints guidance, money market fund reporting and Consumer Composite Investments rules. The changes are consultative and no final implementation date is stated.

The FCA has issued a Decision Notice proposing a £742,700 financial penalty and a full prohibition order against Daniel Philip Thomas for alleged misconduct involving defined benefit pension transfer advice, misleading statements, destruction of records and failure to co-operate. The notice has been referred to the Upper Tribunal, so the proposed sanctions have no effect pending determination.

The SEC has published OCC’s proposed amendments to its clearing membership standards. The proposal would tighten onboarding, reporting, operational, financial responsibility, confidentiality, protective-measure and suspension-related rules for OCC applicants and Clearing Members.

The SEC and CFTC have issued a joint final rule further extending the compliance date for the February 8, 2024 Form PF amendments from October 1, 2026 to July 1, 2027, while they consider comments on proposed 2026 Form PF amendments.

The SEC proposed broad amendments to federal transfer agent rules, including registration/reporting changes, modernized recordkeeping, settlement-cycle-aligned processing standards, risk management, inactive securityholder communications, compliance programs, and restrictive legend controls. The proposal is not yet final; comments are due 60 days after Federal Register publication.

CSSF Circular 25/882, as amended by Circular CSSF 26/915, provides Luxembourg practical instructions for DORA-related ICT third-party notifications, register-of-information submissions, cloud computing classification, and related Luxembourg outsourcing controls. It applies immediately and is relevant to in-scope CSSF-supervised DORA financial entities and qualifying third-country branches, with carve-outs for Chapter 2 reporting by Luxembourg branches of EU-headed entities and significant credit institutions supervised by the ECB.