RRD Weekly: 12 to 18 October 2026
Fit and proper forms, FFIEC 101, CSDR, PRA LTI
Editor’s note
The week combined supervisory guidance and final policy in Luxembourg, the EU and the UK with a routine information collection renewal in the United States. The CSDR messaging guidelines carry the nearest hard build deadline for EU investment firms, and Luxembourg credit institutions should retire old fit and proper templates now.
Five things
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CSSF Fit and Proper Declaration: Revised Forms Apply From 15 October
The CSSF updated its four fit and proper declaration forms (KFH and MB LSI) and issued a replacement prudential appointment procedure, as guidance and forms for appointment files.
Luxembourg credit institutions · revised forms and procedure apply from 15 October 2026
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FFIEC 101 Reporting: A Three-Year Renewal With No Form Changes
The OCC, Federal Reserve Board and FDIC proposed a three-year extension of FFIEC 101 reporting without revision and sent it to OMB for review, as a consultation on an information collection.
US advanced approaches institutions · comments due 16 November 2026, current OMB approval expires 31 December 2026
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CSDR Messaging Protocols Guidelines: Oral and Domestic Routes Close
ESMA published its final report on revised CSDR messaging protocols guidelines, which set out how firms and supervisors should read the amended RTS on settlement discipline.
EU investment firms and professional clients · amended requirements and guidelines apply from 7 December 2026
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PRA High LTI Lending: The Firm-Level 15% Cap Ends on 28 October
The PRA and FCA published final policy (PS19/26) that ends the firm-level 15% cap on high loan to income mortgage lending and keeps the 15% limit as a market aggregate.
UK mortgage lenders reporting PSD001 · firm-level cap ends 28 October 2026
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ESMA 2026 Enforcement Priorities: The CSSF Review of FY2026 Reports
ESMA published its public statement on the 2026 European common enforcement priorities, which the CSSF relayed as guidance on what enforcers will review in FY2026 annual reports.
Luxembourg issuers preparing FY2026 reports · IFRS 18 mandatory for annual periods beginning on or after 1 January 2027
Dates to add to your calendar
| Date | What | Who |
|---|---|---|
| 15 October 2026 | Revised KFH and MB LSI forms and the new appointment procedure apply | Luxembourg credit institutions |
| 28 October 2026 | Firm-level 15% cap on high LTI lending ends | UK mortgage lenders |
| 16 November 2026 | Comments due on the FFIEC 101 extension | US advanced approaches institutions |
| 7 December 2026 | Amended RTS Article 2 and revised CSDR messaging guidelines apply | EU investment firms and professional clients |
| 31 December 2026 | Current OMB approval for the FFIEC 101 expires | US advanced approaches institutions |
| 1 January 2027 | IFRS 18 becomes mandatory for annual periods beginning on or after this date | Luxembourg issuers |
The complete week
Luxembourg
- ESMA 2026 Enforcement Priorities: The CSSF Review of FY2026 Reports
- CSSF Fit and Proper Declaration: Revised Forms Apply From 15 October
- Luxembourg Terrorist Financing NRA 2026: Sector Ratings for Your BWRA
United States
- FR 2886b Reporting: Edge and Agreement Corporation Condition and Income
- FFIEC 101 Reporting: A Three-Year Renewal With No Form Changes
- Rule 605 and 606 Reporting: Monthly Execution Data, Quarterly Routing
- Form 1099-DA Reporting: Broker Scope, Box Rules and the IRIS Route
- FR Y-9LP and FR Y-9SP Reporting: Parent-Only Statements at $3 Billion
- Form 13F Reporting: The $100 Million Test, 45-Day Clock and EDGAR XML
- Form 8966 Reporting: FATCA Filers, IDES and the 31 March Deadline
European Union
- MAR Delayed Disclosure Guidelines: Five New Grounds, Seven Deleted
- CSDR Messaging Protocols Guidelines: Oral and Domestic Routes Close
- ESMA Transparency Manual: UPIs for OTC Derivatives and Tick-Size Rules
- ECB IFRS 18 Reporting Option: The 2027 FINREP Profit and Loss Choice
- USDC Significant E-Money Token: Dual Supervision From 12 November
- SRB Requests to Industry 2027: Three-Year Cycle, Fixed RESOL Dates
- CSD Prudential Requirements RTS: Banking CSDs Serving Other CSDs
- EBA Reporting Framework 4.4 Final Package: The Phase 1 Build List
United Kingdom
Sweden
- Riksbank Digital Krona Letter: Five Years Plus Before Any Launch
- FFFS 2023:12 Amended: Owner Tests Reach Swedish Consumer Lenders
- FFFS 2018:16 Amendments: The Consumer Carve-Out From 20 November 2026
Singapore
Other
- G-SIB Methodology Review: The 66% Banking Union Rule Up for Comment
- PFMI General Business Risk: CPMI-IOSCO’s Final LNAFE Guidance
- FSB AI Sound Practices Final Report: A Governance Gap Analysis
- EFRAG Agenda Consultation 2027-2029: The 15 February 2027 Deadline
- G-SIB Window Dressing: Basel Moves Indicators to Annual Averages
- Leverage Ratio RCAP 2026: Where Six Jurisdictions Depart from Basel
- BZSt FATCA DIP Filing: Handbook v1.5 and the XML Upload Route
- FSB Global Stablecoin Note: Tracking Where Tokens and Reserves Sit
From the library
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