Thematic Pillar Hub · 31 Published Briefings
Global Enforcement & Licensing Rules institutional intelligence, quantitative benchmarks, primary regulatory filings, and market structure analysis from RegTech Codex. EU Digital Operational Resilience Act (DORA) ICT Risk & 4-Hour Incident SLA (EU-DORA-2022-2554) stands at 4 Hours (Major ICT Incident Alert) (Source: ESMA / EBA / EIOPA Joint RTS, 2026-10-20), governing 4-hour/24-hour/72
Curated by Victoria Ashworth, LL.M, CAMS (LL.M in Financial Regulation (UCL), Certified Anti-Money Laundering Specialist) · Fact-checked by RegTech Codex Institutional Review Board
EU Digital Operational Resilience Act (DORA) ICT Risk & 4-Hour Incident SLA (EU-DORA-2022-2554) stands at 4 Hours (Major ICT Incident Alert) (Source: ESMA / EBA / EIOPA Joint RTS, 2026-10-20), governing 4-hour/24-hour/72
EU Digital Operational Resilience Act (DORA) ICT Risk & 4-Hour Incident SLA (EU-DORA-2022-2554) stands at 4 Hours (Major ICT Incident Alert) (Source: ESMA / EBA / EIOPA Joint RTS, 2026-10-20), governing contractual audit
SEC off-channel communications sweeps totaled $2.3 billion across 95 actions (Source: SEC, 2026-04-15), while 17 regulators led by the UK FCA executed a coordinated finfluencer crackdown in April 2026 (Source: FCA, 2026-04-20).
EU Markets in Crypto-Assets (MiCA) CASP Authorization & Prudential Floors (EU-MICA-CASP-2026) stands at EUR 150,000 (Class 3 Minimum Capital) (Source: ESMA Regulation (EU) 2023/1114, 2026-10-20), governing initial perman
EU Markets in Crypto-Assets (MiCA) CASP Authorization & Prudential Floors (EU-MICA-CASP-2026) stands at EUR 150,000 (Class 3 Minimum Capital) (Source: ESMA Regulation (EU) 2023/1114, 2026-10-20), governing third-country
UK FCA Consumer Duty (PRIN 2A) & Section 21 Financial Promotions Gateway (FCA-CONSUMER-DUTY) stands at 2 Years (Max s21 Statutory Penalty) (Source: UK Financial Conduct Authority, 2026-10-20), governing statutory trust l
UK FCA Consumer Duty (PRIN 2A) & Section 21 Financial Promotions Gateway (FCA-CONSUMER-DUTY) stands at 2 Years (Max s21 Statutory Penalty) (Source: UK Financial Conduct Authority, 2026-10-20), governing cross-checking FR
SEC Rule 17a-4 & Rule 204-2 Off-Channel Communications Recordkeeping (SEC-RULE-17A4-2042) stands at $2.3B (Cumulative SEC Fines (95 Actions)) (Source: U.S. Securities and Exchange Commission, 2026-10-20), governing recen
SEC Rule 17a-4 & Rule 204-2 Off-Channel Communications Recordkeeping (SEC-RULE-17A4-2042) stands at $2.3B (Cumulative SEC Fines (95 Actions)) (Source: U.S. Securities and Exchange Commission, 2026-10-20), governing 30:1
Australia ASIC AFSL Supervision, RG 146 & INFO 269 Finfluencer Liability (ASIC-AFSL-INFO269) stands at 5 Years (Max Unlicensed Advice Penalty) (Source: Australian Securities & Investments Commission, 2026-10-20), governi
Australia ASIC AFSL Supervision, RG 146 & INFO 269 Finfluencer Liability (ASIC-AFSL-INFO269) stands at 5 Years (Max Unlicensed Advice Penalty) (Source: Australian Securities & Investments Commission, 2026-10-20), governi
Singapore MAS Capital Markets Services (CMS) & FAA Licensing Standards (MAS-CMS-SFA-2026) stands at SGD 150,000 (Statutory Fine Ceiling) (Source: Monetary Authority of Singapore, 2026-10-20), governing initial permanent
Singapore MAS Capital Markets Services (CMS) & FAA Licensing Standards (MAS-CMS-SFA-2026) stands at SGD 150,000 (Statutory Fine Ceiling) (Source: Monetary Authority of Singapore, 2026-10-20), governing third-country bran
MiFID II Annex II Elective Professional vs. Retail Client Categorization (MIFID2-CLIENT-CAT) stands at EUR 500,000 (Portfolio Size Criterion (2 of 3)) (Source: ESMA Directive 2014/65/EU, 2026-10-20), governing statutory
MiFID II Annex II Elective Professional vs. Retail Client Categorization (MIFID2-CLIENT-CAT) stands at EUR 500,000 (Portfolio Size Criterion (2 of 3)) (Source: ESMA Directive 2014/65/EU, 2026-10-20), governing cross-chec
UK FCA CASS 7 Client Money Segregation & Daily Reconciliation Rules (FCA-CASS7-CLIENT) stands at 100% (Daily Trust Account Rec) (Source: UK FCA CASS Sourcebook, 2026-10-20), governing recent enforcement sweeps, turnover-
UK FCA CASS 7 Client Money Segregation & Daily Reconciliation Rules (FCA-CASS7-CLIENT) stands at 100% (Daily Trust Account Rec) (Source: UK FCA CASS Sourcebook, 2026-10-20), governing 30:1 to 2:1 product intervention lev
Hong Kong SFC Type 1 (Dealing), Type 4 (Advising) & Type 9 (Asset Mgmt) Rules (SFC-HK-TYPE1-TYPE9) stands at HKD 10M (Paid-Up Share Capital Floor) (Source: Securities and Futures Commission (HK), 2026-10-20), governing 4
Hong Kong SFC Type 1 (Dealing), Type 4 (Advising) & Type 9 (Asset Mgmt) Rules (SFC-HK-TYPE1-TYPE9) stands at HKD 10M (Paid-Up Share Capital Floor) (Source: Securities and Futures Commission (HK), 2026-10-20), governing c
EU EMIR Refit & UK EMIR ISO 20022 UPI/UTI Derivatives Trade Reporting (EMIR-REFIT-2026) stands at T+1 (Trade Repository Reporting SLA) (Source: ESMA / Bank of England, 2026-10-20), governing initial permanent capital, fi
EU EMIR Refit & UK EMIR ISO 20022 UPI/UTI Derivatives Trade Reporting (EMIR-REFIT-2026) stands at T+1 (Trade Repository Reporting SLA) (Source: ESMA / Bank of England, 2026-10-20), governing third-country branch restrict
Swiss FINMA Banking & FinTech License Prudential Supervision Framework (FINMA-SWISS-BANK) stands at CHF 100M (FinTech Deposit Cap) (Source: Swiss Financial Market Supervisory Authority, 2026-10-20), governing statutory t
Swiss FINMA Banking & FinTech License Prudential Supervision Framework (FINMA-SWISS-BANK) stands at CHF 100M (FinTech Deposit Cap) (Source: Swiss Financial Market Supervisory Authority, 2026-10-20), governing cross-check
CySEC Cyprus Investment Firm (CIF) Passporting & EUR 20,000 ICF Coverage (CYSEC-CIF-ICF) stands at EUR 750,000 (Market Maker Initial Capital) (Source: Cyprus Securities and Exchange Commission, 2026-10-20), governing rec
CySEC Cyprus Investment Firm (CIF) Passporting & EUR 20,000 ICF Coverage (CYSEC-CIF-ICF) stands at EUR 750,000 (Market Maker Initial Capital) (Source: Cyprus Securities and Exchange Commission, 2026-10-20), governing 30:
U.S. CFTC & NFA Compliance Rule 2-9 Swap Dealer & FCM Supervision (CFTC-NFA-RULE2-9) stands at $20M (Minimum Adjusted Net Capital) (Source: Commodity Futures Trading Commission, 2026-10-20), governing 4-hour/24-hour/72-h
U.S. CFTC & NFA Compliance Rule 2-9 Swap Dealer & FCM Supervision (CFTC-NFA-RULE2-9) stands at $20M (Minimum Adjusted Net Capital) (Source: Commodity Futures Trading Commission, 2026-10-20), governing contractual audit c
FATF Recommendation 16 & EU TFR (2023/1113) Crypto Wire Travel Rule (FATF-TRAVEL-RULE) stands at EUR 0 (Zero De Minimis CASP Threshold) (Source: FATF / European Banking Authority, 2026-10-20), governing initial permanent
FATF Recommendation 16 & EU TFR (2023/1113) Crypto Wire Travel Rule (FATF-TRAVEL-RULE) stands at EUR 0 (Zero De Minimis CASP Threshold) (Source: FATF / European Banking Authority, 2026-10-20), governing third-country bra
Global Regulator Warning List & Clone Firm Domain Verification Protocol (CLONE-FIRM-AUDIT) stands at 100% (FRN / Domain Match Requirement) (Source: IOSCO / FCA / ASIC / MAS Registers, 2026-10-20), governing statutory tru
Global Regulator Warning List & Clone Firm Domain Verification Protocol (CLONE-FIRM-AUDIT) stands at 100% (FRN / Domain Match Requirement) (Source: IOSCO / FCA / ASIC / MAS Registers, 2026-10-20), governing cross-checkin
