For specific information related to FIA's efforts as it relates to the Coronavirus (COVID-19), contact the following FIA staff:

Industry Operations, Execution and Technology

Americas: Don Byron - dbyron@fia.org
Europe: Stuart Bailey - sbailey@fia.org
Europe: Tessa Jones - tjones@fia.org
APAC: Stella Gan - sgan@fia.org

Regulatory Impact

Americas: Allison Lurton - alurton@fia.org
Europe: Mitja Siraj - msiraj@fia.org
APAC: Tze Min Yeo - tmyeo@fia.org

Risk Management

Americas: Jackie Mesa - jmesa@fia.org
Europe: Stuart Bailey - sbailey@fia.org
APAC: Bill Herder - bherder@fia.org

Media

Steve Adamske - sadamske@fia.org

For general information related to FIA's efforts around Coronavirus (COVID-19), please reach out to FIA's Head of Global Industry Operations and Execution, Don Byron at dbyron@fia.org
 

ASIC

5 August 2020 // APAC - ASIC’s role in ensuring confidence is maintained in the financial system

7 July 2020 // APAC - Focuses for financial reporting under COVID-19 conditions

25 June 2020 // APAC - ASIC approves temporary COVID-19 changes to the Banking Code

24 June 2020 // APAC - Rise in investment scams during COVID-19 pandemic

12 June 2020 // APAC - ASIC amends financial advice and capital raisings COVID 19 instruments

13 May 2020 // APAC - ASIC to further extend financial reporting deadlines for listed and unlisted entities and amends ‘no action’ position for AGMs

20 April 2020 // APAC - ASIC guidelines for investor meetings using virtual technology

14 April 2020 // APAC - Details of changes to ASIC regulatory work and priorities in light of COVID-19

23 March 2020 // APAC - ASIC recalibrates its regulatory priorities to focus on COVID-19 challenges-19

23 March 2020 // APAC - COVID-19 Information

20 March 2020 // APAC - ASIC letter to responsible entities of registered schemes in the current COVID-19 environment  

 

ASX

31 March 2020 // APAC - Listed@ASX Compliance Update - COVID-19 - Continuous Disclosure Obligations (ASX)

 

BaFin

1 April 2020 // Europe - Covid-19 situation: BaFin information on new developments and key points

 

Bank of England

26 March 2020 // Europe - Joint statement by the Financial Conduct Authority (FCA), Financial Reporting Council (FRC) and Prudential Regulation Authority (PRA)

20 March 2020 // Europe - Bank of England announces supervisory and prudential policy measures to address the challenges of COVID-19

 

Bank of Japan

17 June 2020 // APAC - BOJ’s Measures in Response to COVID-19

17 June 2020 // APAC - Statement on Monetary Policy

 

CFTC

9 June 2020 // Americas - No-Action Positions to Facilitate Physical Separation of Registrant Personnel in Response to COVID-19 Pandemic

31 March 2020 // Americas - CFTC Provides Further Relief to Market Participants in Response to COVID-19

20 March 2020 // Americas - CFTC Issues Third Wave of Relief to Market Participants in Response to COVID-19 

17 March 2020 // Americas - CFTC Provides Relief to Market Participants in Response to COVID-19

17 March 2020 // Americas - CFTC Issues Second Wave of Relief to Market Participants in Response to COVID-19

 

Department of Homeland Security

8 April 2020 // Americas - COVID-19 Exploited by Malicious Cyber Actors

28 March 2020 // Americas - CISA Releases 2nd Version of Guidance on the Essential Critical Infrastructure Workforce

23 March 2020 // Americas - CISA Guidance on Essential Critical Infrastructure Workers 1-20-508c

19 March 2020 // Americas - Guidance on the Essential Critical Infrastructure Workforce

 

EBA

25 March 2020 // Europe - EBA provides clarity to banks and consumers on the application of the prudential framework in light of COVID-19 measures

12 March 2020 // Europe - EBA statement on actions to mitigate the impact of COVID-19 on the EU banking sector

ESMA

25 March 2020 // Europe - ESMA issues guidance on accounting implications of COVID-19

20 March 2020 // Europe - MiFID - Secondary Markets

20 March 2020 // Europe - ESMA extends consultations response dates

20 March 2020 // Europe - Draft technical standards on the provision of investment services and activities in the union by third-country firms under the MiFIR II and MiFIR

20 March 2020 // Europe - Consultation paper on MiFIR review report on transparency for non-equity TOD

20 March 2020 // Europe - ESMA clarifies position on call taping under MiFID II

11 March 2020 // Europe - ESMA recommends action by financial market participants for COVID-19 impact

FCA

6 May 2020 // Europe - FCA’s national and international response to coronavirus (Covid-19) and Brexit

6 May 2020 // Europe - Period to cover absent Senior Managers extended due to coronavirus (Covid-19)

27 March 2020 // Europe - Work-related travel - responsibilities of Senior Managers

25 March 2020 // Europe - FCA: Impact of the coronavirus on firms' LIBOR transition plans

20 March 2020 // Europe - FCA Statement on Coronavirus and SFTR reporting 

18 March 2020 // Europe - FCA information for firms on Coronavirus (COVID-19) response

4 March 2020 // Europe - Statement on Covid-19 (coronavirus)

FINRA

9 March 2020 // Americas - Pandemic-Related Business Continuity Planning, Guidance and Regulatory Relief

 

FMA

27 July 2020 // APAC - FMA immediate priorities during the COVID-19 response and recovery

17 June 2020 // APAC - FMA KiwiSaver tracker updated, showing part of COVID-19 impact

21 May 2020 // APAC - Business debt hibernation

19 May 2020 // APAC - 'No action' relief as a result of COVID-19

18 May 2020 // APAC - FMA reports steady progress on financial advice transitional licensing

12 May 2020 // APAC - Guidelines for Financial Services businesses and staff under COVID-19 Alert Level 2

24 April 2020 // APAC - Conduct expectations in response to COVID-19

24 April 2020 // APAC - WorkSafe guidelines for Financial Services businesses and staff under COVID-19 Alert Level 3

 

FSA

19 May 2020 // APAC- Concrete Measures Taken by Financial Institutions in Response to the COVID-19 Infection

6 April 2020 // APAC- Financial Services Agency: Information on COVID-19 (Novel Coronavirus)

 

FSC

16 April 2020 // APAC- FSC Approves Revised Rules  on Misconduct in Financial Services

 

Harris County Texas (Houston)

25 March 2020 // Americas - Harris County Texas - "Stay Home Work Safe" Order 

 

MAS

16 June 2020 // APAC - Safe Transition to Phase Two of the Re-opening for the Financial Sector

12 June 2020 // APAC - Seventh Asian Monetary Policy Forum to Discuss Impact of COVID-19 on Global Economy

19 April 2020 // APAC - Safe Re-Opening of More Customer Services in the Financial Sector

17 April 2020 // APAC - MAS Urges Customers to Minimise Visits to Premises of Financial Institutions

13 April 2020 // APAC - Additional Guidance on the Conduct of General Meetings During Elevated Safe Distancing Period

7 April 2020 // APAC - MAS Takes Regulatory and Supervisory Measures to Help FIs Focus on Supporting Customers

3 April 2020 // APAC - MAS - Finanical Services Remain Open and Available

31 March 2020 // APAC - ACRA, MAS and SGX RegCo Update Guidance on General Meetings

23 March 2020 // APAC - MAS Tells Financial Institutions to Adopt Safe Distancing Measures

14 March 2020 // Americas - MAS Welcomes Measures by Financial Institutions to Support Customers Facing the Impact of COVID-19

 

NFA

6 October 2020 // Americas - Coronavirus Update—Expiration of Temporary Relief from Fingerprinting Requirements

7 April 2020 // Americas - FCM and IB Members—FinCEN issues a special notice in response to the COVID-19 pandemic and updates list of FATF-identified jurisdictions with AML/CFT deficiencies

The Notice contains provisions relevant to beneficial ownership requirements and the CARES Act as well as updates to Currency Transaction Report filing obligations. NFA Member futures commission merchants (FCM) and introducing brokers (IB) should carefully review the Notice so that they can assess the impact it may have on their AML programs and their regulatory obligations."

12 March 2020 // Americas - Information on CFTC Regulatory Reporting Requirements

4 March 2020 // Americas - Information on Coronavirus/COVID-19

 

Reserve Bank of India

23 May 2020 // APAC - COVID19 Regulatory Package

17 April 2020 // APAC - Governor's Statement, 17 April, 2020

3 April 2020 // APAC - RBI Notifies Changes in Market Hours

 

Securities Commission Malaysia (SC)

28 April 2020 // APAC - SC and Bursa Extend Temporary Short Selling Suspension amid COVID-19 Volatility

 

Securities and Exchange Board of India

23 June 2020 // APAC - Temporary relaxation in processing of documents pertaining to FPIs due to COVID-19

22 May 2020 // APAC - Regulatory measures introduced by SEBI to continue in view of ongoing uncertainty

21 May 2020 // APAC - Review of Post Default Curing Period for Credit Rating Agencies

15 May 2020 // APAC - Relaxation in timelines for compliance with regulatory requirements

27 April 2020 // APAC - Extension of implementation date of Circular on ‘Review of Margin Framework for Cash and Derivatives segments (except for Commodity Derivatives Segment

21 April 2020 // APAC - Relaxation in timelines for compliance with regulatory requirements by trading members / clearing members

 

SEC

14 March 2020 // Americas - CSEC Coronavirus (COVID-19) Response

14 March 2020 // Americas - Cboe Options Exchange Temporarily Shifts to Fully Electronic Trading - SEC

 

Securities and Futures Commission

21 April 2020 // APAC - SFC regulatory response to COVID-19

31 March 2020 // APAC - Circular to Intermediaries  - Extended Deadlines for Implementation of Regulatory Expectations and Reminder or Organic Recording Requirements Under COVID-19 Pandemic

 

SET

13 April 2020 // APAC - SET launches rules on market disruption and amends circuit breaker rules effective April 15

 

SGX

7 July 2020 // APAC - Regulator’s Column: What SGX RegCo expects of Sustainability Reporting during COVID-19 times

 

State of Illinois

20 March 2020 // Americas - Executive Order in Response to COVID-19 (COVID-19 Executive Order No.8)

 

State of New York

20 March 2020 // Americas - Workforce Reduction Under Executive Order 202.6

20 March 2020 // Americas - Guidance for Determining Whether a Business Enterprise is Subject to a Workforce Reduction Under Executive Order 202.6

 

U.K. Finance

26 March 2020 // Europe - U.K. Finance Note - Key Financial Workers

 

U.S. Congress

30 March 2020 // Americas - The Small Business Owner’s Guide to the CARES Act

26 March 2020 // Americas - U.S. Congress advances $2.2 trillion in COVID-19 relief

 

U.S. Treasury 

24 March 2020 // Americas - Statement by Secretary Steven T. Mnuchin on Essential Financial Services Workers

22 March 2020 // Americas - Financial Services Sector Essential Critical Infrastructure Letter

17 March 2020 // Americas - Treasury Launches Coronavirus Web Page

ASX

25 March 2020 // APAC - ASX consults on timing of CHESS replacement project

11 March 2020 // APAC - ASX action on COVID-19

BME

18 March 2020 // Europe - COVID19 briefing note

Borsa Italiana

20 March 2020 // Europe - Updated FAQ on the temporary ban on net short positions issued by CONSOB

19 March 2020 // Europe - Updated F&Q on the temporary ban on net short positions regarding roll-over operations of FTSE MIB futures (See Article 8-bis)

 

Bursa Malaysia

23 March 2020 // APAC - Bursa Malaysia Implements Enhanced Measures to Manage Impact of COVID-19

 

CBOE 

14 March 2020 // Americas - Cboe Options Exchange Temporarily Shifts to Fully Electronic Trading - SEC 

3 March 2020 // Americas - Novel Coronavirus Update

CME Group

14 September 2020 // Americas - UPDATE: Revised Regulatory Relief Concerning COVID-19 Pandemic 

24 March 2020 // Americas - CME Group to Launch New Gold Futures Contract with Expanded, FLexible Delivery in 100-ounce, 400-ounce or 1-kilo Bars 

14 March 2020 // Americas - Options on CME Globex

13 March 2020 // Americas - SER-8859 Regulatory Relief Concerning Covid-19 Pandemic

12 March 2020 // Americas - Updated Trading Community Q&A

12 March 2020 // Americas - CME Group to Close Chicago Trading Floor as a Precaution and Trading Floor Q&A - Effective: March 13, 2020

11 March 2020 // Americas - CME Group to Close Chicago Trading Floor as a Precaution

2 March 2020 // Americas - Trading floor operations regarding coronoavirus

 

EEX 

18 March 2020 // Europe - Customer Information on the Corona Virus (COVID-19)

 

EUREX 

19 March 2020 // Europe - Clarification of the scope of short selling bans imposed by European national authorities

6 March 2020 // Europe - COVID-19: How we handle the situation

2 March 2020 // Europe - Coronavirus (COVID-19); trading from emergency locations

 

Euronext 

20 March 2020 // Europe - FAQs on the Decisions taken by the AMF pursuant to Article L. 421-16 II of the Monetary and Financial Code: Ban on net short positions

20 March 2020 // Europe - Euronext Guidance on Short-selling Regulation (SSR)

 

HKEX 

13 March 2020 // APAC - Business Continuity Management: COVID-19 Preparedness 

 

ICE

27 March 2020 // Americas - Transaction Details for Block Trades Submitted Through ICE Block

25 March 2020 // Europe - ICE - Circular 20/040 - Member Obligations and Ongoing Notification Requirements: COVID-19 Pandemic

20 March 2020 // Global - Update on temporary relief from exchange rule 4.18(e) and other requirements for intermediaries handling customer business 

18 March 2020 // Global - Change to the Cocoa Futures Spot Month Position Limit, and a Temporary Change to Cocoa Rule Provisions

17 March 2020 // Global - Update on ICE Futures U.S. Inc. Cocoa and Coffee Grading 

17 March 2020 // Global - Reduction in Delivery Limits  

17 March 2020 // Global - Intercontinental Exchange Update on Global Operations of Exchanges, Clearing Houses, and Data Services 

13 March 2020 // Americas - Temporary Relief From Exchange Rule 4.18(e) and other Requirements for Intermediaries Handling Customer Business

 

ICE Data Services

13 March 2020 // Americas - ICE Data Center Customer Notice

6 March 2020 // Americas - COVID-19: Preparedness & Market Navigation

JPX

28 April 2020 // APAC - Aid for COVID-19 Outbreak Response

7 April 2020 // APAC - JPX response to spread of novel coronavirus

7 April 2020 // APAC - Trading to Continue After the State of Emergency Declaration

1 April 2020 // APAC - JPX’s Business Continuity Plan – Two Measures for continued smooth operation of the market

 

KRX

18 May 2020 // APAC - KRX to Provide Remote Learning Program for Overseas Institutions

16 April 2020 // APAC - KRX Responds to COVID-19 : Market Actions and CSR Activities

 

LCH

23 March 2020 // Europe - Coronavirus (COVID-19) Update: LCH Group update to all LCH Ltd, LCH SA and LCH SwapAgent Ltd members - 23 March 2020

 

LME

25 March 2020 // Europe - LME COVID-19 Preparedness Update

13 March 2020 // Europe - Updated Business Continuity Plans for LME Base Metal Futures, Aluminium Premium Contracts and Cash-settled Futures

17 March 2020 // Europe - LME Ring Trading Update

10 March 2020 // Europe - LME coronavirus update as of March 10

 

MexDer

22 March 2020 // Americas - MexDer Notice to Clearing Members, Trading Members and Participants 

 

Nasdaq

23 March 2020 // Europe - Nasdaq Statement on Nordic and Baltic Operations 

20 March 2020 // Europe - Nasdaq OMX Nordic Clearing Extension 

20 March 2020 // Americas - Nasdaq Clearing Extension - Fixed Income

20 March 2020 // Americas - Nasdaq - Extension for Cleared Trade Allocations 7/20

 

Nodal

13 March 2020 // Americas - COVID-19 Preparedness

 

NSE

20 March 2020 // APAC - Operational Business Continuity Measures - COVID-19

 

OCC

6 March 2020 // Americas - Unscheduled Market Closings Guide

 

SGX

27 July 2020 // APAC - ACRA and SGX RegCo emphasise importance of high-quality financial statements amid COVID-19

27 July 2020 // APAC - REGULATOR’S COLUMN: What SGX RegCo expects of financial reports amid COVID-19

14 May 2020 // APAC - SGX to host Commodities Unplugged, a month-long webinar series for international participants to share insights into a post-pandemic view of commodity markets, and the macro opportunities offered from an increasingly financialised market

22 April 2020 // APAC - SGX RegCo grants auto-extension for release of unaudited financial results for FYs ended Feb, Mar and April 2020

22 April 2020 // APAC - Regulator’s Column: What SGX expects of issuers’ disclosures during COVID-19

17 April 2020 // APAC - SGX enhances business processes and encourages greater use of online services amid COVID-19

13 April 2020 // APAC - Additional Guidance on the Conduct of General Meetings During Elevated Safe Distancing Period

8 April 2020 // APAC - SGX RegCo announces measures to support issuers amid challenging COVID-19 business climate

7 April 2020 // APAC - SGX RegCo grants automatic 60-day extension for issuers to hold AGMs

6 April 2020 // APAC - Doing Our Part to Safeguard Economic Resilience

3 April 2020 // APAC - SGX’s securities and derivatives markets remain open

31 March 2020 // APAC - ACRA, MAS and SGX RegCo update guidance on general meetings

25 March 2020 // APAC - Guidance on safe distancing measures for issuers when conducting meetings

19 March 2020 // APAC - SGX RegCo provides guidance on holding of general meetings amid COVID-19

18 March 2020 // APAC - Message from SGX CEO to Listed Companies

16 March 2020 // APAC - SGX introduces S$5 million Care Package to provide support amid COVID-19

13 March 2020 // APAC - Message from SGX CEO to Market Participants

27 February 2020 // APAC - SGX RegCo gives additional two months to issuers to hold AGMs due to concern about large-group meetings amid COVID-19

February/March 2020 // APAC - Keeping the marketplace available and accessible 

 

TMX

1 April 2020 // Americas - CDCC COVID-19 Discretionary Initial Margin Requirements

30 March 2020 // Americas - CDCC - New Covid-19 Discretionary Initial Margin Requirement - Delayed 

28 March 2020 // Americas - CDCC - New Covid-19 Discretionary Initial Margin Requirement

18 March 2020 // Americas - Additional Guidance to Approved Participants COVID-19

16 March 2020 // Americas - A message from TMX regarding COVID-19

11 March 2020 // Americas - Approved Participants Business Continuity Plan COVID-19

11 March 2020 // Americas - Operational Notice - CDCC COVID-19 Readiness