181 Enforcement Actions in the U.S. over past 30 days

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FINRA enforcements Increased 59% over the past 30 days

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SEC issued enforcements: $65,449,488.80 over the past 30 days

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128 Final Rules go into effect in the next 30 days

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29 Mortgage Lending docs published in the last 7 days

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7596 docs with 9937 extracted obligations from the last 7 days

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109 new Proposed and Final Rules were published in the past 7 days

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7053 new docs in pro.compliance.ai within the last 7 days

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Richard Dupree

Richard (“Rick”) Dupree is a risk, compliance, and operations leader who contributed expertise at regional, national, and global financial services firms and fintechs, including Wells Fargo, Silicon Valley Bank, Bank of the West, and BNP Paribas and is currently engaged in risk management efforts in the startup, fintech space. In addition to his work in the incumbent bank and neobank spaces, Rick advises regtechs and financial services technology solution providers, is a recurring, contributing editor at Finextra.com, and sits on industry panels in the US and the UK speaking on risk and compliance challenges faced by banks and fintechs.

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