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Capital Markets — regulation across countries

RegulatorCountryOfficial site
DAB Da Afghanistan Bank Afghanistan source
AFSA Financial Supervisory Authority (Autoriteti i Mbikëqyrjes Financiare) Albania source
COSOB Commission d'Organisation et de Surveillance des Opérations de Bourse (Securities Market Organisation and Supervision Commission) Algeria source
AFA Autoritat Financera Andorrana Andorra source
UIFAND Unitat d'Intel·ligència Financera d'Andorra Andorra source
CMC Comissão do Mercado de Capitais Angola source
CNV Comisión Nacional de Valores Argentina source
CBA Central Bank of Armenia Armenia source
ASIC Australian Securities and Investments Commission Australia source
ASX Australian Securities Exchange Australia source
FMA Finanzmarktaufsichtsbehörde (Financial Market Authority Austria) Austria source
CBAR Central Bank of the Republic of Azerbaijan Azerbaijan source
SCB Securities Commission of The Bahamas Bahamas source
CBB Central Bank of Bahrain Bahrain source
BFIU Bangladesh Financial Intelligence Unit Bangladesh source
BSEC Bangladesh Securities and Exchange Commission Bangladesh source
BSE Barbados Stock Exchange Inc. Barbados source
FSC Financial Services Commission Barbados source
NBB Nationale Bank van België / Banque nationale de Belgique (National Bank of Belgium) Belgium source
FSC Financial Services Commission Belize source
RMA Royal Monetary Authority of Bhutan Bhutan source
Securities Commission of the Federation of Bosnia and Herzegovina (Komisija za vrijednosne papire Federacije BiH) Securities Commission of the Federation of Bosnia and Herzegovina (Komisija za vrijednosne papire Federacije BiH) Bosnia and Herzegovina source
BSE Botswana Stock Exchange Botswana source
NBFIRA Non-Bank Financial Institutions Regulatory Authority Botswana source
CVM Comissão de Valores Mobiliários Brazil source
BDCB Brunei Darussalam Central Bank Brunei source
FSC Комисия за финансов надзор (Financial Supervision Commission) Bulgaria source
ARMC Autorité de Régulation du Marché des Capitaux du Burundi (Capital Markets Regulatory Authority of Burundi) Burundi source
UIF Unidade de Informação Financeira Cabo Verde —
AMF Autorité des marchés financiers (Quebec) Canada source
CIRO Canadian Investment Regulatory Organization Canada source
CSA Canadian Securities Administrators Canada source
OSC Ontario Securities Commission Canada source
CMF Comisión para el Mercado Financiero Chile source
UAF Unidad de Análisis Financiero Chile source
CSRC China Securities Regulatory Commission China source
Superintendencia Financiera de Colombia Superintendencia Financiera de Colombia Colombia source
SUGEVAL Superintendencia General de Valores Costa Rica source
Hanfa Hrvatska agencija za nadzor financijskih usluga (Croatian Financial Services Supervisory Agency) Croatia source
AMLO Ured za sprječavanje pranja novca (Anti-Money Laundering Office) Croatia source
CySEC Cyprus Securities and Exchange Commission Cyprus source
ČNB Česká národní banka (Czech National Bank) Czechia source
SIMV Superintendencia del Mercado de Valores de la República Dominicana (Superintendency of the Securities Market) Dominican Republic source
JPRFM Junta de Política y Regulación Financiera y Monetaria Ecuador source
SCVS Superintendencia de Compañías, Valores y Seguros Ecuador source
UAFE Unidad de Análisis Financiero y Económico Ecuador source
FRA Financial Regulatory Authority Egypt source
SSF Superintendencia del Sistema Financiero El Salvador source
UIF Unidad de Investigación Financiera El Salvador source
ANIF Agencia Nacional de Investigación Financiera (National Agency for Financial Investigation) Equatorial Guinea source
Finantsinspektsioon (Estonian Financial Supervision and Resolution Authority) Finantsinspektsioon (Estonian Financial Supervision and Resolution Authority) Estonia source
ESE Eswatini Stock Exchange Eswatini source
FSRA Financial Services Regulatory Authority Eswatini source
ECMA Ethiopian Capital Market Authority Ethiopia source
RBF Reserve Bank of Fiji Fiji source
FIN-FSA Finanssivalvonta (Financial Supervisory Authority) Finland source
AMF Autorité des marchés financiers France source
NBG National Bank of Georgia Georgia source
BaFin Federal Financial Supervisory Authority Germany source
SEC Securities and Exchange Commission, Ghana Ghana source
RMVM Registro del Mercado de Valores y Mercancías Guatemala source
GSC Guyana Securities Council Guyana source
UIF Unidad de Inteligencia Financiera Honduras source
HKEX Hong Kong Exchanges and Clearing Limited Hong Kong source
JFIU Joint Financial Intelligence Unit Hong Kong source
SFC Securities and Futures Commission Hong Kong source
MNB Magyar Nemzeti Bank (Central Bank of Hungary) Hungary source
Seðlabanki Íslands (Central Bank of Iceland) Seðlabanki Íslands (Central Bank of Iceland) Iceland source
IFSCA International Financial Services Centres Authority India source
SEBI Securities and Exchange Board of India India source
ISC Iraq Securities Commission (هيأة الاوراق المالية) Iraq source
CBI Central Bank of Ireland Ireland source
ISA Israel Securities Authority Israel source
CONSOB Commissione Nazionale per le Società e la Borsa Italy source
FSC Financial Services Commission Jamaica source
FSA Financial Services Agency Japan source
JPX Japan Exchange Group Japan source
SESC Securities and Exchange Surveillance Commission Japan source
JSC Jordan Securities Commission Jordan source
ARDFM Agency for Regulation and Development of the Financial Market Kazakhstan source
AFSA Astana Financial Services Authority Kazakhstan source
CMA Capital Markets Authority Kenya source
FRC Financial Reporting Centre Kenya source
CMA Capital Markets Authority Kuwait source
Financial Market Regulation and Supervision Service under the Ministry of Economy and Commerce of the Kyrgyz Republic Financial Market Regulation and Supervision Service under the Ministry of Economy and Commerce of the Kyrgyz Republic Kyrgyzstan source
AMLIO Anti-Money Laundering Intelligence Office Laos source
Latvijas Banka (Bank of Latvia) Latvijas Banka (Bank of Latvia) Latvia source
CMA Capital Markets Authority Lebanon source
SIC Special Investigation Commission Lebanon source
CBL Central Bank of Lesotho Lesotho source
Libyan Financial Information Unit (وحدة المعلومات المالية الليبية) Libyan Financial Information Unit (وحدة المعلومات المالية الليبية) Libya source
FMA Finanzmarktaufsicht Liechtenstein Liechtenstein source
Bank of Lithuania (Lietuvos bankas) Bank of Lithuania (Lietuvos bankas) Lithuania source
CSSF Commission de Surveillance du Secteur Financier Luxembourg source
AMCM Monetary Authority of Macao Macao source
BM Bursa Malaysia Malaysia source
MACC Malaysian Anti-Corruption Commission Malaysia —
SC Securities Commission Malaysia Malaysia source
CMDA Capital Market Development Authority Maldives source
MFSA Malta Financial Services Authority Malta source
Law or regulationTypeCountryYearSource
Law No. 62/2020 on Capital Markets Act Albania 2020 source
Règlement COSOB n° 25-04 du 22 octobre 2025 relatif à la diffusion de l'information par les sociétés dont les titres sont cotés en bourse (COSOB Regulation 25-04 on Information Disclosure by Listed Companies) Regulation Algeria 2025 source
Règlement COSOB n° 24-01 du 17 juillet 2024 relatif à la prévention et à la lutte contre le blanchiment d'argent, le financement du terrorisme et le financement de la prolifération (COSOB Regulation 24-01 on AML/CFT/CPF) Regulation Algeria 2024 source
Instruction COSOB n° 24-09 du 27 novembre 2024 relative au rapport annuel sur le dispositif de prévention et de lutte contre le blanchiment d'argent (COSOB Instruction 24-09 on the Annual Report on the AML/CFT Framework) Guideline Algeria 2024 source
Instruction COSOB n° 23-01 du 7 novembre 2023 fixant les éléments constituant le dossier joint à la demande d'agrément du Conseiller en Investissement Participatif (COSOB Instruction 23-01 on the Approval File of Crowdfunding Investment Advisers) Guideline Algeria 2023 source
Ordonnance n° 96-08 du 10 janvier 1996 relative aux organismes de placement collectif en valeurs mobilières (OPCVM), (SICAV) et (FCP) (Ordonnance 96-08 on Collective Investment Undertakings in Transferable Securities) Act Algeria 1996 source
Décret législatif n° 93-10 du 23 mai 1993 relatif à la bourse des valeurs mobilières, modifié et complété (Legislative Decree 93-10 of 23 May 1993 on the Securities Exchange, as amended) Act Algeria 1993 source
Decret 76/2022, del 2 de març, d'aprovació del Reglament de la Llei 14/2017 (Decree 76/2022 approving the Regulation of Law 14/2017) Regulation Andorra 2022 source
Llei 14/2017, del 22 de juny, de prevenció i lluita contra el blanqueig de diners o valors i el finançament del terrorisme (Law 14/2017 on the prevention and fight against money laundering and terrorist financing) Act Andorra 2017 source
Llei de regulació del règim disciplinari del sistema financer, del 27 de novembre de 1997 - text refós (Law regulating the disciplinary regime of the financial system, consolidated text) Act Andorra 1997 source
Lei n.º 22/15, de 31 de Agosto — Código dos Valores Mobiliários (Securities Code) Act Angola 2015 source
Money Laundering & the Financing of Terrorism Guidelines for Financial Institutions (Amendment, 4 March 2025) Guideline Antigua and Barbuda 2025 source
Money Laundering (Prevention) Regulations 2007 (SI No. 38 of 2007), as amended Regulation Antigua and Barbuda 2007 source
Resolución General CNV N° 963 — Lineamientos para la Emisión de Valores Negociables Temáticos en Argentina (CNV General Resolution 963: guidelines for issuing thematic securities) Regulation Argentina 2023 source
Capital Markets Law No. 26,831 (Ley 26.831 de Mercado de Capitales) Act Argentina 2012 source
Ley 25.246 de Encubrimiento y Lavado de Activos (Law 25,246 on Concealment and Money Laundering) Act Argentina 2000 source
Law on Introducing Uniform System of Financial Regulation and Supervision (HO-242-N) Act Armenia 2005 source
Corporations Amendment (Digital Assets Framework) Act 2026 Act Australia 2026 source
Corporations Act 2001 Act Australia 2001 source
Australian Securities and Investments Commission Act 2001 Act Australia 2001 source
ESG-Rating-Verordnung-Vollzugsgesetz (ESG Ratings Regulation Enforcement Act) Act Austria 2026 source
FMA Guide for Managing Sustainability Risks (01/2025) Guideline Austria 2025 source
Bundesgesetz über das Wirksamwerden der Verordnung (EU) 2022/2554 über die digitale operationale Resilienz im Finanzsektor (DORA-Vollzugsgesetz – DORA-VG) (DORA Enforcement Act) Act Austria 2024 source
Bundesgesetz über die Wertpapier- und allgemeinen Warenbörsen 2018 (Börsegesetz 2018 – BörseG 2018) Act Austria 2018 source
Bundesgesetz zur Verhinderung der Geldwäscherei und Terrorismusfinanzierung im Finanzmarkt (Finanzmarkt-Geldwäschegesetz – FM-GwG) (Federal Act on the Prevention of Money Laundering and Terrorist Financing in Financial Markets) Act Austria 2016 source
Finanzmarktaufsichtsbehördengesetz (FMABG) (Federal Act on the establishment and organisation of the Financial Market Authority) Act Austria 2001 source
Azərbaycan Respublikasının Mərkəzi Bankı haqqında Qanun (Law on the Central Bank of the Republic of Azerbaijan) Act Azerbaijan 2004 source
Securities Industry Act, 2024 Act Bahamas 2024 source
Money Laundering Prevention Act, 2012 (Act No. 5 of 2012) Act Bangladesh 2012 source
Proposed ESG Guidelines for the Non-Bank Financial Services Sector (External ESG Consultation Paper) Guideline Barbados 2026 source
Technology and Cyber Risk Management Guideline (Financial Services Commission) Guideline Barbados 2024 source
Money Laundering and Financing of Terrorism (Prevention and Control) Act, 2011-23 Act Barbados 2011 source
Financial Services Commission Act, 2010-21 Act Barbados 2010 source
Securities Act, Cap. 318A Act Barbados 2001 source
Law of 18 September 2017 on the prevention of money laundering and terrorist financing and on the restriction of the use of cash Act Belgium 2017 source
Law of 2 August 2002 on the supervision of the financial sector and on financial services Act Belgium 2002 source
Securities Industry Act, 2021 (Act No. 46 of 2021) Act Belize 2021 source
Zakon o tržištu vrijednosnih papira (Law on the Securities Market of the Federation of BiH) Act Bosnia and Herzegovina 2008 source
Resolução CVM nº 88, de 27 de abril de 2022 (CVM Resolution 88 on public offerings through electronic crowdfunding platforms) Regulation Brazil 2022 source
Resolução CVM nº 175, de 23 de dezembro de 2022 (CVM Resolution 175 on the constitution, operation and disclosure of investment funds) Regulation Brazil 2022 source
Resolução CVM nº 80, de 29 de março de 2022 (CVM Resolution 80 on registration and periodic disclosure by issuers of securities) Regulation Brazil 2022 source
Resolução CVM nº 50, de 31 de agosto de 2021 (CVM Resolution 50 on AML/CFT/proliferation financing in the securities market) Regulation Brazil 2021 source
Lei nº 13.810, de 8 de março de 2019 (Law 13,810/2019 on compliance with UN Security Council sanctions and asset freezing) Act Brazil 2019 source
Lei nº 13.506, de 13 de novembro de 2017 (Law 13,506/2017 on the administrative sanctioning process of the Central Bank and the CVM) Act Brazil 2017 source
Lei Complementar nº 105, de 10 de janeiro de 2001 (Complementary Law 105/2001 on the secrecy of financial institutions' operations) Act Brazil 2001 source
Lei nº 7.492, de 16 de junho de 1986 (Law 7,492/1986 defining crimes against the national financial system) Act Brazil 1986 source
Law No. 6,385/1976 (Securities Law) Act Brazil 1976 source
Notice on Early Detection of Cyber Intrusion and Incident Reporting for Financial Institutions (FTU/N-1/2017/1, Amendment No. 2) Notification Brunei 2017 source
Закон за Комисията за финансов надзор (Financial Supervision Commission Act) Act Bulgaria 2003 source
Règlement N° 002/2026 du 23 février 2026 portant lutte contre le blanchiment des capitaux et le financement du terrorisme (ARMC Regulation n° 002/2026 on AML/CFT) Regulation Burundi 2026 source
Decreto-Lei n.º 9/2012, de 20 de março — Organização, competências e funcionamento da Unidade de Informação Financeira (Decree-Law 9/2012 on the organisation, powers and operation of the Financial Intelligence Unit) Act Cabo Verde 2012 source
Proceeds of Crime (Money Laundering) and Terrorist Financing Regulations Regulation Canada 2002 source
Proceeds of Crime (Money Laundering) and Terrorist Financing Suspicious Transaction Reporting Regulations Regulation Canada 2001 source
Securities Act (Ontario) Act Canada 1990 source
Circular N° 62 de la UAF, que imparte instrucciones de carácter general a las personas señaladas en el artículo 3, inciso primero, de la Ley N° 19.913 Circular Chile 2025 source
Norma de Carácter General N° 519 de la CMF, que modifica las Normas de Carácter General N° 30 y 461 referidas a la memoria anual integrada (integrated annual report: NIIF S1 and S2) Rule Chile 2024 source
Ley N° 21.521, que promueve la competencia e inclusión financieras a través de la innovación y tecnología en la prestación de servicios financieros (Ley Fintec) Act Chile 2023 source
Norma de Carácter General N° 461 de la CMF, que modifica la estructura y contenido de la memoria anual de los emisores de valores y modifica y deroga normas que indica (annual report: sustainability and corporate governance) Rule Chile 2021 source
Ley N° 18.045, Ley de Mercado de Valores Act Chile 1981 source
Decreto Ley N° 3.538, que crea la Comisión para el Mercado Financiero Act Chile 1980 source
中华人民共和国期货和衍生品法 (Futures and Derivatives Law of the People's Republic of China) Act China 2022 source
Securities Law of the PRC Act China 1998 source
Circular Externa 005 de 2022 de la Superintendencia Financiera (SFC External Circular 005 of 2022 adopting the Taxonomía Verde de Colombia) Circular Colombia 2022 source
Ley 964 de 2005 (Law 964 of 2005 on securities market intervention) Act Colombia 2005 source
Ley Reguladora del Mercado de Valores, Ley 7732 (Securities Market Regulatory Law, Law 7732) Act Costa Rica 1998 source
Zakon o provedbi Uredbe (EU) 2023/2631 o europskim zelenim obveznicama (Act implementing Regulation (EU) 2023/2631 on European green bonds) Act Croatia 2025 source
Zakon o provedbi Uredbe (EU) 2022/2554 o digitalnoj operativnoj otpornosti za financijski sektor (Act implementing Regulation (EU) 2022/2554 on digital operational resilience for the financial sector) Act Croatia 2024 source
Pravilnik o obavještavanju Ureda za sprječavanje pranja novca o sumnjivim transakcijama, sredstvima i osobama (Rulebook on notifying the Anti-Money Laundering Office of suspicious transactions, funds and persons) Regulation Croatia 2019 source
Pravilnik o obavještavanju Ureda za sprječavanje pranja novca o gotovinskim transakcijama u vrijednosti od 10.000,00 eura i većoj (Rulebook on notifying the Anti-Money Laundering Office of cash transactions of EUR 10,000 and above) Regulation Croatia 2019 source
Capital Market Act (Zakon o tržištu kapitala) Act Croatia 2018 source
Zakon o sprječavanju pranja novca i financiranja terorizma (Anti-Money Laundering and Terrorist Financing Act) Act Croatia 2017 source
Act on the Croatian Financial Services Supervisory Agency (Zakon o Hrvatskoj agenciji za nadzor financijskih usluga) Act Croatia 2005 source
Investment Services and Activities and Regulated Markets Law of 2017 (Ο περί Επενδυτικών Υπηρεσιών και Δραστηριοτήτων και Ρυθμιζόμενων Αγορών Νόμος του 2017, 87(I)/2017) Act Cyprus 2017 source
Cyprus Securities and Exchange Commission Law of 2009 (Ο περί Επιτροπής Κεφαλαιαγοράς Κύπρου Νόμος του 2009, 73(I)/2009) Act Cyprus 2009 source
Prevention and Suppression of Money Laundering Activities Law of 2007 (Ο περί της Παρεμπόδισης και Καταπολέμησης της Νομιμοποίησης Εσόδων από Παράνομες Δραστηριότητες Νόμος του 2007, 188(I)/2007) Act Cyprus 2007 source
Bekendtgørelse af lov om kapitalmarkeder, LBK nr. 464 af 1. maj 2026 (Consolidated Capital Markets Act) Act Denmark 2026 source
Regulation (EU) 2022/2554 on digital operational resilience for the financial sector (DORA) Regulation Denmark 2022 source
Reglamento que Regula la Prevención del Lavado de Activos, Financiamiento del Terrorismo y de la Proliferación de Armas de Destrucción Masiva en el Mercado de Valores Dominicano, Resolución R-CNMV-2018-12-MV (Regulation on the Prevention of Money Laundering, Terrorist Financing and Proliferation Financing in the Dominican Securities Market) Regulation Dominican Republic 2018 source
Ley No. 249-17 del Mercado de Valores de la República Dominicana (Law 249-17, Securities Market Law) Act Dominican Republic 2017 source
Ley No. 155-17 contra el Lavado de Activos y el Financiamiento del Terrorismo (Law 155-17 against Money Laundering and the Financing of Terrorism) Act Dominican Republic 2017 source
Decreto No. 408-17, Reglamento de Aplicación de la Ley No. 155-17 contra el Lavado de Activos, el Financiamiento del Terrorismo y la Proliferación de Armas de Destrucción Masiva (Decree 408-17, Implementing Regulation of Law 155-17) Regulation Dominican Republic 2017 source
Codificación de Resoluciones Monetarias, Financieras, de Valores y Seguros - Libro II: Mercado de Valores (Codification of Resolutions - Book II: Securities Market) Regulation Ecuador — source
Prime Minister Decree No. 636 of 2024 amending Egyptian Accounting Standards to add Egyptian Accounting Interpretation No. 2 on carbon emission reduction certificates Regulation Egypt 2024 source
FRA Chairman's Decision No. 3019 of 2023 amending Chairman's Decision No. 14 of 2007 on financial solvency standards for securities companies Regulation Egypt 2023 source
FRA Board Decision No. 107 of 2021 on disclosure of ESG practices and climate-related financial impacts by non-bank financial companies (as amended December 2022) Regulation Egypt 2021 source
FRA Board Decision No. 100 of 2020 on corporate governance rules for companies in non-bank financial activities (as amended 2024) Regulation Egypt 2020 source
FRA Circular No. 2 of 2019 regulating the use of non-cash payment methods by non-bank financial institutions Circular Egypt 2019 source
FRA Board Decision No. 127 of 2019 on the register of local experts and consultancy institutions that may assess and test green and sustainable projects Regulation Egypt 2019 source
FRA Board Decision No. 11 of 2014 on rules for listing and delisting securities on the Egyptian Exchange (updated 2026) Regulation Egypt 2014 source
Executive Regulations of the Capital Market Law (Minister of Economy Decision No. 135 of 1993, as updated 2025) Regulation Egypt 1993 source
Capital Market Law No. 95 of 1992 Act Egypt 1992 source
Targeted Financial Sanctions Guidelines on Terrorism Financing and Proliferation Financing, 2025 (FSRA No. 1 of 2025) Guideline Eswatini 2025 source
Eswatini Stock Exchange Listings Requirements Notice, 2022 (General Notice No. 30 of 2022) Notification Eswatini 2022 source
Securities Act, 2010 (Act No. 9 of 2010) Act Eswatini 2010 source
Directive on Licensing, Operation and Supervision of Securities Exchanges, Derivatives Exchanges and the Over the Counter Market No. 1009/2024 Direction Ethiopia 2024 source
RBF Prudential Supervision Policy Statement No. 2: Minimum Requirements for the Management of Cybersecurity Risk by Supervised Entities Guideline Fiji 2023 source
AMF General Regulation Regulation France 2004 source
Code monétaire et financier (Monetary and Financial Code) Act France — source
Organic Law of Georgia No 1676 on the National Bank of Georgia Act Georgia 2009 source
Law of Georgia on Securities Market Act Georgia 1998 source
ObligationCountryNatureVerifiedSourceDetail
AML compliance officer for COSOB-supervised entities Algeria — source View →
AML record retention for COSOB-supervised entities Algeria At least 5 years source View →
Suspicious transaction reporting for COSOB-supervised entities Algeria As soon as suspicion arises; immediately where CDD cannot be completed (Art. 22) source View →
AML/CFT policy, risk assessment and designated director (securities market) Brazil Ongoing; director notified to the CVM within 7 business days of investiture source View →
AML/CFT record retention (securities market) Brazil 5 years minimum source View →
Customer due diligence and beneficial ownership (securities market) Brazil At onboarding + ongoing source View →
Suspicious transaction reporting to COAF (securities market) Brazil Within 24 hours of concluding the analysis source View →
ESG and climate-related disclosure in the annual report Egypt Annually, with the annual financial statements source View →
Customer due diligence for occasional transactions and wire transfers (licensed corporations and VASPs) Hong Kong Triggered by transactions at or above HK$120,000 (occasional) or HK$8,000 (wire transfers) source View →
Comply with the Cybersecurity and Cyber Resilience Framework (SEBI regulated entities) India Effective 1 January 2025 or 1 April 2025 depending on entity category source View →
Suspicious transaction and order reporting (market abuse) Ireland Without delay, on reasonable suspicion (as described by the Central Bank) source View →
Large shareholding report within five days Japan Within 5 days of exceeding 5% (Sundays and designated holidays excluded) source View →
AML/CFT reporting by CMA-licensed persons Kuwait Immediately (Art. 1-5) source View →
Delegation and outsourcing conditions for approved financial firms Monaco Ongoing source View →
Prior approval to carry on financial activities Monaco Before starting the activity source View →
AML/CFT record retention for SECP-regulated entities Pakistan 5 years source View →
AML record retention (securities sector) Panama 5 years from the end of the business relationship source View →
AML/CFT compliance programme and money laundering reporting officer (capital markets) Rwanda Policies reviewed at least every 3 years source View →
Retention of AML risk assessment records (capital markets) Rwanda 10 years minimum source View →
AML/CFT compliance officer and MLRO (CMA-authorised persons) Saudi Arabia Ongoing; MLRO reports annually to the board (Art. 23(4)) source View →
Suspicious transaction reporting to the FIU (CMA-authorised persons) Saudi Arabia Immediately; detailed report within 10 days; written confirmation within 24 hours of a telephone report source View →
AML record retention (CMA-authorised persons) Saudi Arabia 10 years source View →
Customer due diligence (CMA-authorised persons) Saudi Arabia At onboarding + ongoing source View →
Technology incident reporting and recovery objectives for capital markets institutions Singapore Not later than 1 hour after discovery; root cause report within 14 days source View →
Applies across all sectors
Lawful basis, notice and data subject rights Albania — source View →
Personal data breach notification Albania No later than 72 hours after becoming aware of the breach source View →
Beneficial ownership registration and updating Albania Changes within 90 calendar days of the actual change source View →
Lawful basis, notice and data subject rights Algeria — source View →
Personal data breach notification Algeria No later than 5 days after becoming aware source View →
Appoint a data protection officer Algeria — source View →
Designate a person responsible for information systems security Algeria — source View →
Lawful basis, privacy notice and data subject rights Andorra Ongoing source View →
Personal data breach notification to the APDA Andorra Within a maximum of 72 hours of becoming aware (Art. 36) source View →
Lawful basis, notice and data subject rights Angola Ongoing source View →
File an annual beneficial ownership and control attestation with the Registrar of Companies Antigua and Barbuda Annually, within 30 days after the company's anniversary date source View →
Process personal data on a lawful basis, inform data subjects and honour their rights Argentina Ongoing; access within 10 calendar days; rectification or deletion within 5 business days source View →
Integrity programme for legal persons, required for certain contracts with the national State Argentina Ongoing; before contracting with the national State where Art. 24 applies source View →
Privacy policy, collection notice and individual access and correction rights Australia Ongoing source View →
Ransomware and cyber extortion payment reporting Australia Within 72 hours of the payment or of becoming aware of it source View →
Cybersecurity incident reporting by essential and important entities Austria Early warning within 24 hours of becoming aware; notification within 72 hours; final report within one month of the notification source View →
Internal whistleblowing channel Austria 50 or more employees source View →
Lawful basis, information and data subject rights Austria — source View →
Personal data breach notification to the Datenschutzbehörde Austria Without undue delay and where possible within 72 hours of becoming aware source View →
Whistleblowing: internal channel for reports of corruption and protection of reporters Azerbaijan Reports considered within 20 working days source View →
Lawful basis, notice and data subject rights Bahrain Ongoing source View →
Personal data breach notification Bahrain Within 72 hours of discovery source View →
Lawful basis, notice and data subject rights Bangladesh Ongoing source View →
Keep basic and beneficial ownership information at the registered office Barbados Ongoing; kept at least 5 years; certified in each annual return source View →
Lawful basis, consent, notice and data subject rights Belarus Deadlines of 5 working days to 15 days depending on the request (Arts 10-13) source View →
Personal data breach notification Belarus Immediately, no later than 3 working days after becoming aware source View →
Data protection officer or dedicated unit Belarus — source View →
Keep employee records available for labour inspection for at least two years Belize At least 2 years after the record is made source View →
Protection of whistleblowers, witnesses and victims of corruption Benin — source View →
Private entities to supply information to the UIF and report suspected corruption Bolivia — source View →
Providers of public services to accept digitally signed documents and digital-citizenship acts Bolivia — source View →
Lawful basis, notice and data subject rights Bosnia and Herzegovina Ongoing source View →
Personal data breach notification Bosnia and Herzegovina Within 72 hours where possible source View →
Protection against dismissal for good-faith corruption reports Bosnia and Herzegovina Ongoing source View →
Lawful basis, notice and data subject rights Brazil Ongoing source View →
Personal data breach notification to the ANPD and data subjects Brazil Within 3 business days; preliminary notice completed within 20 business days source View →
Integrity (anti-bribery compliance) programme Brazil Ongoing source View →
Whistleblowing channel and protection against retaliation (public bodies and state-owned companies) Brazil Ongoing source View →
Consent, notification and data subject access and correction Brunei — source View →
Personal data breach notification to AITI Brunei No later than 3 days after assessing the breach as notifiable (s.28(1)) source View →
Internal whistleblowing channel Bulgaria Acknowledge within 7 days; feedback within 3 months source View →
Protection of employees, witnesses and whistleblowers reporting corruption Burkina Faso — source View →
Lawful basis, notice and data subject rights Cabo Verde Ongoing source View →
Personal data breach notification Cabo Verde Within 72 hours of becoming aware source View →
Notification of data processing to the CNPD Cabo Verde Before processing starts source View →
Designation of a data protection officer Cabo Verde Ongoing source View →
Fair information principles: accountability, purposes, consent and individual access Canada Ongoing source View →
Annual forced labour and child labour supply-chain report Canada Annually by 31 May source View →
Confidentiality incidents: notification and incident register (Quebec) Canada Promptly where there is a risk of serious injury; no fixed deadline source View →
Protection against dismissal for complaints against the employer Central African Republic — source View →
Report significant cyber incidents to the national CSIRT Chile Early alert within 3 hours; update within 72 hours; final report within 15 calendar days source View →
Adopt a crime prevention model to avoid corporate criminal liability Chile Ongoing source View →
Lawful basis, notice and individual rights for personal information China Ongoing source View →
Personal information protection officer, audits and impact assessments China Ongoing; impact assessment before the activity source View →
Conditions for transferring personal information abroad China Before each transfer abroad source View →
Report cybersecurity incidents within 1, 2 or 4 hours China 1 hour (CII operators), 2 hours (central government departments), 4 hours (others) source View →
Sign a written employment contract within one month of starting work China Within one month of the start of work source View →
Data subject rights and prior informed authorisation Colombia Ongoing source View →
Lawful basis, notice and data subject rights Costa Rica At collection + ongoing; access and rectification requests answered within five working days (Art. 7) source View →
Employers must allow labour inspection Costa Rica — source View →
Lawful basis, notice and data subject rights Croatia — source View →
Personal data breach notification to AZOP Croatia Within 72 hours of becoming aware source View →
Internal whistleblowing channel and confidential person Croatia Acknowledge within 7 days; feedback within 30 days, max 90 source View →
Data subject rights and information on processing Cuba — source View →
Report ICT security incidents immediately Cuba Immediately ("inmediata"); no fixed deadline source View →
Whistleblowing channel and follow-up Cyprus Acknowledge within 7 days; feedback within 3 months of acknowledgement source View →
Cash payment limit of €10,000 Cyprus — source View →
Internal whistleblowing channel for employers with 50 or more employees Czechia Acknowledge within 7 days; assess within 30 days of receipt source View →
Mining permit applicants commit to a community-responsibility cahier des charges Democratic Republic of the Congo At permit application and renewal source View →
Significant incident notification under the NIS 2 Act Denmark Early warning within 24 hours; notification within 72 hours; final report within one month source View →
Personal data breach notification to Datatilsynet Denmark Without undue delay and, where feasible, within 72 hours of becoming aware source View →
Internal whistleblower scheme for employers Denmark Acknowledge within 7 days; feedback within 3 months of acknowledgment source View →
Beneficial owner registration by companies Denmark Register as soon as possible; review at least annually; keep documentation 5 years source View →
Protection of whistleblowers, witnesses and experts from retaliation Djibouti Ongoing source View →
Data subject information, consent and rights (access, rectification, deletion) Dominican Republic Continuous source View →
Notice of dismissal to the labour authority Dominican Republic Within 48 hours of the dismissal source View →
DateEntityCountryActionPenaltySource
28 OCT 2026 Unnamed estate agent (megler; name not published) - licence revoked Norway Licence Action — source
27 OCT 2026 Общество с ограниченной ответственностью Микрокредитная компания «АБЛ-Финанс» (ООО МКК «АБЛ-Финанс») Russia Licence Action — source
23 OCT 2026 Allied Funds Towarzystwo Funduszy Inwestycyjnych SA Poland Settlement PLN 50,000≈ US$12,740 source
23 OCT 2026 Towarzystwo Funduszy Inwestycyjnych Agro SA Poland Monetary Penalty PLN 250,000≈ US$63,699 source
23 OCT 2026 Compensa Towarzystwo Ubezpieczeń Spółka Akcyjna Vienna Insurance Group Poland Monetary Penalty PLN 5,000,000≈ US$1,273,983 source
23 OCT 2026 株式会社BlueMeme (BlueMeme Inc.) Japan Monetary Penalty JPY 9,600,000≈ US$61,361 source
22 OCT 2026 Общество с ограниченной ответственностью Небанковская кредитная организация «Тайдон» (ООО НКО «Тайдон») Russia Licence Action — source
21 OCT 2026 해태제과식품㈜ (Haitai Confectionery & Foods Co., Ltd.) South Korea Monetary Penalty KRW 937,800,000≈ US$706,175 source
21 OCT 2026 ООО «КИНЕТИК КАПИТАЛ» Russia Remedial Direction — source
21 OCT 2026 Наумов Владимир Валерьевич Russia Remedial Direction — source
21 OCT 2026 Michael B. DePetrillo, Meteor LLC and NOLA FX Capital Management LLC United States Prohibition Order · Monetary Penalty US$9,211,492 source
19 OCT 2026 Кредитный потребительский кооператив «Касса взаимного кредита» Russia Licence Action — source
19 OCT 2026 Eddy Alexandre and EminiFX Inc. United States Disgorgement / Restitution · Monetary Penalty US$45,148,500 source
16 OCT 2026 Соломахин Вадим Альбертович Russia Business Restriction · Remedial Direction — source
15 OCT 2026 Mr. Tawee Aroonpornwong Thailand Prohibition Order · Settlement THB 2,942,292.38≈ US$87,722 source
15 OCT 2026 Mr. Susitak Achariyasombat Thailand Prohibition Order · Settlement THB 5,181,490.13≈ US$154,482 source
15 OCT 2026 Kyle Clifford Frost Australia Licence Action — source
15 OCT 2026 Nomura Holdings Inc. Germany Monetary Penalty €320,000 source
14 OCT 2026 Sir Money Changer Pte Ltd Singapore Licence Action — source
14 OCT 2026 Iwan Margana Indonesia Licence Action · Prohibition Order — source
14 OCT 2026 PT Pratama Capital Assets Management Indonesia Licence Action — source
14 OCT 2026 Kreditbanken A/S Denmark Remedial Direction — source
13 OCT 2026 RMH Holdings Limited (Stock Code: 8437) and Six Former Directors Hong Kong Formal Reprimand · Remedial Direction — source
12 OCT 2026 КПК «ЛАЙФФИНАНС» Russia Licence Action — source
12 OCT 2026 AIFM Capital AB Sweden Monetary Penalty · Formal Reprimand SEK 2,000,000 source