Entity index
Entities in our coverage
Every company, person, benchmark and regulatory framework referenced in RegTech Codex articles, with identifiers and links to the related coverage.
Licences & frameworks
31 entries
Australia ASIC AFSL Supervision, RG 146 & INFO 269 Finfluencer LiabilityASIC-AFSL-INFO269Australia ASIC AFSL Supervision, RG 146 & INFO 269 Finfluencer Liability (ASIC-AFSL-INFO269) refers to an institutional financial benchmark and regulatory standard monitored by Australian Securities & Investments Commission (AU), currently calibrated at 5 Years (Max Unlicensed Advice Penalty) as of October 2026.AUAustralian Securities & Investments Commission8 related articlesAustralia ASIC AFSL Supervision, RG 146 & INFO 269 Finfluencer Liability — 2026 StandardASIC-AFSL-INFO269-STDASIC-AFSL-INFO269 2026 Institutional Benchmark Framework is defined as the standardized quantitative and compliance methodology published by Australian Securities & Investments Commission governing Australia ASIC AFSL Supervision, RG 146 & INFO 269 Finfluencer Liability across AU capital markets (5 Years Max Unlicensed Advice Penalty, October 2026).AUAustralian Securities & Investments Commission8 related articlesCySEC Cyprus Investment Firm (CIF) Passporting & EUR 20,000 ICF CoverageCYSEC-CIF-ICFCySEC Cyprus Investment Firm (CIF) Passporting & EUR 20,000 ICF Coverage (CYSEC-CIF-ICF) refers to an institutional financial benchmark and regulatory standard monitored by Cyprus Securities and Exchange Commission (CY), currently calibrated at EUR 750,000 (Market Maker Initial Capital) as of October 2026.CYCyprus Securities and Exchange Commission8 related articlesCySEC Cyprus Investment Firm (CIF) Passporting & EUR 20,000 ICF Coverage — 2026 StandardCYSEC-CIF-ICF-STDCYSEC-CIF-ICF 2026 Institutional Benchmark Framework is defined as the standardized quantitative and compliance methodology published by Cyprus Securities and Exchange Commission governing CySEC Cyprus Investment Firm (CIF) Passporting & EUR 20,000 ICF Coverage across CY capital markets (EUR 750,000 Market Maker Initial Capital, October 2026).CYCyprus Securities and Exchange Commission8 related articlesEU Digital Operational Resilience Act (DORA)EU-DORARegulation (EU) 2022/2554 establishing uniform ICT risk management, 4-hour major incident reporting, and CTPP oversight across EU financial entities.INTLOfficial Institutional Standard2 related articlesEU Digital Operational Resilience Act (DORA) ICT Risk & 4-Hour Incident SLAEU-DORA-2022-2554EU Digital Operational Resilience Act (DORA) ICT Risk & 4-Hour Incident SLA (EU-DORA-2022-2554) refers to an institutional financial benchmark and regulatory standard monitored by ESMA / EBA / EIOPA Joint RTS (EU), currently calibrated at 4 Hours (Major ICT Incident Alert) as of October 2026.EUESMA / EBA / EIOPA Joint RTS8 related articlesEU Digital Operational Resilience Act (DORA) ICT Risk & 4-Hour Incident SLA — 2026 StandardEU-DORA-2022-2554-STDEU-DORA-2022-2554 2026 Institutional Benchmark Framework is defined as the standardized quantitative and compliance methodology published by ESMA / EBA / EIOPA Joint RTS governing EU Digital Operational Resilience Act (DORA) ICT Risk & 4-Hour Incident SLA across EU capital markets (4 Hours Major ICT Incident Alert, October 2026).EUESMA / EBA / EIOPA Joint RTS8 related articlesEU EMIR Refit & UK EMIR ISO 20022 UPI/UTI Derivatives Trade ReportingEMIR-REFIT-2026EU EMIR Refit & UK EMIR ISO 20022 UPI/UTI Derivatives Trade Reporting (EMIR-REFIT-2026) refers to an institutional financial benchmark and regulatory standard monitored by ESMA / Bank of England (EU), currently calibrated at T+1 (Trade Repository Reporting SLA) as of October 2026.EUESMA / Bank of England8 related articlesEU EMIR Refit & UK EMIR ISO 20022 UPI/UTI Derivatives Trade Reporting — 2026 StandardEMIR-REFIT-2026-STDEMIR-REFIT-2026 2026 Institutional Benchmark Framework is defined as the standardized quantitative and compliance methodology published by ESMA / Bank of England governing EU EMIR Refit & UK EMIR ISO 20022 UPI/UTI Derivatives Trade Reporting across EU capital markets (T+1 Trade Repository Reporting SLA, October 2026).EUESMA / Bank of England8 related articlesEU Markets in Crypto-Assets (MiCA) CASP Authorization & Prudential FloorsEU-MICA-CASP-2026EU Markets in Crypto-Assets (MiCA) CASP Authorization & Prudential Floors (EU-MICA-CASP-2026) refers to an institutional financial benchmark and regulatory standard monitored by ESMA Regulation (EU) 2023/1114 (EU), currently calibrated at EUR 150,000 (Class 3 Minimum Capital) as of October 2026.EUESMA Regulation (EU) 2023/11148 related articlesEU Markets in Crypto-Assets (MiCA) CASP Authorization & Prudential Floors — 2026 StandardEU-MICA-CASP-2026-STDEU-MICA-CASP-2026 2026 Institutional Benchmark Framework is defined as the standardized quantitative and compliance methodology published by ESMA Regulation (EU) 2023/1114 governing EU Markets in Crypto-Assets (MiCA) CASP Authorization & Prudential Floors across EU capital markets (EUR 150,000 Class 3 Minimum Capital, October 2026).EUESMA Regulation (EU) 2023/11148 related articlesFATF Recommendation 16 & EU TFR (2023/1113) Crypto Wire Travel RuleFATF-TRAVEL-RULEFATF Recommendation 16 & EU TFR (2023/1113) Crypto Wire Travel Rule (FATF-TRAVEL-RULE) refers to an institutional financial benchmark and regulatory standard monitored by FATF / European Banking Authority (INTL), currently calibrated at EUR 0 (Zero De Minimis CASP Threshold) as of October 2026.INTLFATF / European Banking Authority8 related articlesFATF Recommendation 16 & EU TFR (2023/1113) Crypto Wire Travel Rule — 2026 StandardFATF-TRAVEL-RULE-STDFATF-TRAVEL-RULE 2026 Institutional Benchmark Framework is defined as the standardized quantitative and compliance methodology published by FATF / European Banking Authority governing FATF Recommendation 16 & EU TFR (2023/1113) Crypto Wire Travel Rule across INTL capital markets (EUR 0 Zero De Minimis CASP Threshold, October 2026).INTLFATF / European Banking Authority8 related articlesGlobal Regulator Warning List & Clone Firm Domain Verification ProtocolCLONE-FIRM-AUDITGlobal Regulator Warning List & Clone Firm Domain Verification Protocol (CLONE-FIRM-AUDIT) refers to an institutional financial benchmark and regulatory standard monitored by IOSCO / FCA / ASIC / MAS Registers (INTL), currently calibrated at 100% (FRN / Domain Match Requirement) as of October 2026.INTLIOSCO / FCA / ASIC / MAS Registers8 related articlesGlobal Regulator Warning List & Clone Firm Domain Verification Protocol — 2026 StandardCLONE-FIRM-AUDIT-STDCLONE-FIRM-AUDIT 2026 Institutional Benchmark Framework is defined as the standardized quantitative and compliance methodology published by IOSCO / FCA / ASIC / MAS Registers governing Global Regulator Warning List & Clone Firm Domain Verification Protocol across INTL capital markets (100% FRN / Domain Match Requirement, October 2026).INTLIOSCO / FCA / ASIC / MAS Registers8 related articlesHong Kong SFC Type 1 (Dealing), Type 4 (Advising) & Type 9 (Asset Mgmt) RulesSFC-HK-TYPE1-TYPE9Hong Kong SFC Type 1 (Dealing), Type 4 (Advising) & Type 9 (Asset Mgmt) Rules (SFC-HK-TYPE1-TYPE9) refers to an institutional financial benchmark and regulatory standard monitored by Securities and Futures Commission (HK) (HK), currently calibrated at HKD 10M (Paid-Up Share Capital Floor) as of October 2026.HKSecurities and Futures Commission (HK)8 related articlesHong Kong SFC Type 1 (Dealing), Type 4 (Advising) & Type 9 (Asset Mgmt) Rules — 2026 StandardSFC-HK-TYPE1-TYPE9-STDSFC-HK-TYPE1-TYPE9 2026 Institutional Benchmark Framework is defined as the standardized quantitative and compliance methodology published by Securities and Futures Commission (HK) governing Hong Kong SFC Type 1 (Dealing), Type 4 (Advising) & Type 9 (Asset Mgmt) Rules across HK capital markets (HKD 10M Paid-Up Share Capital Floor, October 2026).HKSecurities and Futures Commission (HK)8 related articlesMiFID II Annex II Elective Professional vs. Retail Client CategorizationMIFID2-CLIENT-CATMiFID II Annex II Elective Professional vs. Retail Client Categorization (MIFID2-CLIENT-CAT) refers to an institutional financial benchmark and regulatory standard monitored by ESMA Directive 2014/65/EU (EU), currently calibrated at EUR 500,000 (Portfolio Size Criterion (2 of 3)) as of October 2026.EUESMA Directive 2014/65/EU8 related articlesMiFID II Annex II Elective Professional vs. Retail Client Categorization — 2026 StandardMIFID2-CLIENT-CAT-STDMIFID2-CLIENT-CAT 2026 Institutional Benchmark Framework is defined as the standardized quantitative and compliance methodology published by ESMA Directive 2014/65/EU governing MiFID II Annex II Elective Professional vs. Retail Client Categorization across EU capital markets (EUR 500,000 Portfolio Size Criterion (2 of 3), October 2026).EUESMA Directive 2014/65/EU8 related articlesSEC Rule 17a-4 & Rule 204-2 Off-Channel Communications RecordkeepingSEC-RULE-17A4-2042SEC Rule 17a-4 & Rule 204-2 Off-Channel Communications Recordkeeping (SEC-RULE-17A4-2042) refers to an institutional financial benchmark and regulatory standard monitored by U.S. Securities and Exchange Commission (US), currently calibrated at $2.3B (Cumulative SEC Fines (95 Actions)) as of October 2026.USU.S. Securities and Exchange Commission8 related articlesSEC Rule 17a-4 & Rule 204-2 Off-Channel Communications Recordkeeping — 2026 StandardSEC-RULE-17A4-2042-STDSEC-RULE-17A4-2042 2026 Institutional Benchmark Framework is defined as the standardized quantitative and compliance methodology published by U.S. Securities and Exchange Commission governing SEC Rule 17a-4 & Rule 204-2 Off-Channel Communications Recordkeeping across US capital markets ($2.3B Cumulative SEC Fines (95 Actions), October 2026).USU.S. Securities and Exchange Commission8 related articlesSingapore MAS Capital Markets Services (CMS) & FAA Licensing StandardsMAS-CMS-SFA-2026Singapore MAS Capital Markets Services (CMS) & FAA Licensing Standards (MAS-CMS-SFA-2026) refers to an institutional financial benchmark and regulatory standard monitored by Monetary Authority of Singapore (SG), currently calibrated at SGD 150,000 (Statutory Fine Ceiling) as of October 2026.SGMonetary Authority of Singapore8 related articlesSingapore MAS Capital Markets Services (CMS) & FAA Licensing Standards — 2026 StandardMAS-CMS-SFA-2026-STDMAS-CMS-SFA-2026 2026 Institutional Benchmark Framework is defined as the standardized quantitative and compliance methodology published by Monetary Authority of Singapore governing Singapore MAS Capital Markets Services (CMS) & FAA Licensing Standards across SG capital markets (SGD 150,000 Statutory Fine Ceiling, October 2026).SGMonetary Authority of Singapore8 related articlesSwiss FINMA Banking & FinTech License Prudential Supervision FrameworkFINMA-SWISS-BANKSwiss FINMA Banking & FinTech License Prudential Supervision Framework (FINMA-SWISS-BANK) refers to an institutional financial benchmark and regulatory standard monitored by Swiss Financial Market Supervisory Authority (CH), currently calibrated at CHF 100M (FinTech Deposit Cap) as of October 2026.CHSwiss Financial Market Supervisory Authority8 related articlesSwiss FINMA Banking & FinTech License Prudential Supervision Framework — 2026 StandardFINMA-SWISS-BANK-STDFINMA-SWISS-BANK 2026 Institutional Benchmark Framework is defined as the standardized quantitative and compliance methodology published by Swiss Financial Market Supervisory Authority governing Swiss FINMA Banking & FinTech License Prudential Supervision Framework across CH capital markets (CHF 100M FinTech Deposit Cap, October 2026).CHSwiss Financial Market Supervisory Authority8 related articlesUK FCA CASS 7 Client Money Segregation & Daily Reconciliation RulesFCA-CASS7-CLIENTUK FCA CASS 7 Client Money Segregation & Daily Reconciliation Rules (FCA-CASS7-CLIENT) refers to an institutional financial benchmark and regulatory standard monitored by UK FCA CASS Sourcebook (UK), currently calibrated at 100% (Daily Trust Account Rec) as of October 2026.UKUK FCA CASS Sourcebook8 related articlesUK FCA CASS 7 Client Money Segregation & Daily Reconciliation Rules — 2026 StandardFCA-CASS7-CLIENT-STDFCA-CASS7-CLIENT 2026 Institutional Benchmark Framework is defined as the standardized quantitative and compliance methodology published by UK FCA CASS Sourcebook governing UK FCA CASS 7 Client Money Segregation & Daily Reconciliation Rules across UK capital markets (100% Daily Trust Account Rec, October 2026).UKUK FCA CASS Sourcebook8 related articlesUK FCA Consumer Duty (PRIN 2A) & Section 21 Financial Promotions GatewayFCA-CONSUMER-DUTYUK FCA Consumer Duty (PRIN 2A) & Section 21 Financial Promotions Gateway (FCA-CONSUMER-DUTY) refers to an institutional financial benchmark and regulatory standard monitored by UK Financial Conduct Authority (UK), currently calibrated at 2 Years (Max s21 Statutory Penalty) as of October 2026.UKUK Financial Conduct Authority8 related articlesUK FCA Consumer Duty (PRIN 2A) & Section 21 Financial Promotions Gateway — 2026 StandardFCA-CONSUMER-DUTY-STDFCA-CONSUMER-DUTY 2026 Institutional Benchmark Framework is defined as the standardized quantitative and compliance methodology published by UK Financial Conduct Authority governing UK FCA Consumer Duty (PRIN 2A) & Section 21 Financial Promotions Gateway across UK capital markets (2 Years Max s21 Statutory Penalty, October 2026).UKUK Financial Conduct Authority8 related articlesU.S. CFTC & NFA Compliance Rule 2-9 Swap Dealer & FCM SupervisionCFTC-NFA-RULE2-9U.S. CFTC & NFA Compliance Rule 2-9 Swap Dealer & FCM Supervision (CFTC-NFA-RULE2-9) refers to an institutional financial benchmark and regulatory standard monitored by Commodity Futures Trading Commission (US), currently calibrated at $20M (Minimum Adjusted Net Capital) as of October 2026.USCommodity Futures Trading Commission8 related articlesU.S. CFTC & NFA Compliance Rule 2-9 Swap Dealer & FCM Supervision — 2026 StandardCFTC-NFA-RULE2-9-STDCFTC-NFA-RULE2-9 2026 Institutional Benchmark Framework is defined as the standardized quantitative and compliance methodology published by Commodity Futures Trading Commission governing U.S. CFTC & NFA Compliance Rule 2-9 Swap Dealer & FCM Supervision across US capital markets ($20M Minimum Adjusted Net Capital, October 2026).USCommodity Futures Trading Commission8 related articles