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

-

FTC enforcements decreased 107% over the past 30 days

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OFAC issued enforcements: $752,177.00 over the past 30 days

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102 Final Rules go into effect in the next 30 days

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76 Mortgage Lending docs published in the last 7 days

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4929 docs with 12492 extracted obligations from the last 7 days

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

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12943 new docs in pro.compliance.ai within the last 7 days

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Download the Q3 Enforcement eBook now!

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Join us Feb 4th at Comply 2021

-

Agency Report Apr 06 - Apr 13

 
 
CA-BOC
 
 
 
 

Agency Update: Optimal Taxation in Asset Markets with Adverse Selection… | 04/06/2020

 
 
 
CA-OSFI
 
 
 
 

Letter: Regulatory Filing Extensions in Response to COVID-19… | 04/09/2020

Letter: Additional Actions to Address Issues Stemming from COVID-19… | 04/09/2020

Letter: Mesures suppl=C3=A9mentaires en r=C3=A9action aux difficult=C3=A9s caus=C3=A9es par la pro… | 04/09/2020

Letter: Prolongation des d=C3=A9lais de production des relev=C3=A9s r=C3=A9glementaires face … | 04/09/2020

 
 
 
CFPB
 
 
 
 

News: Consumer Financial Protection Bureau Announces Guidance on Remittance … | 04/10/2020

News: Build your kids=E2=80=99 money skills while they=E2=80=99re home from school… | 04/10/2020

Press release: Consumer Financial Protection Bureau Announces Guidance on Remittance … | 04/10/2020

Blog: A guide to COVID-19 economic stimulus relief… | 04/10/2020

News: A guide to COVID-19 economic stimulus relief… | 04/10/2020

Blog: Build your kids’ money skills while they’re home from school… | 04/10/2020

News: Agencies Issue Revised Interagency Statement on Loan Modifications by … | 04/07/2020

News: Mantenemos el compromiso de proteger a los consumidores con nuestro tr… | 04/07/2020

News: Avoid scams while finding help during quarantine… | 04/07/2020

Blog: Mantenemos el compromiso de proteger a los consumidores con nuestro tr… | 04/07/2020

 
 
 
CFTC
 
 
 
 

Notice: Sunshine Act Meetings… | 04/10/2020

Notice: Sunshine Act Meetings… | 04/10/2020

Final Rule: Margin Requirements for Uncleared Swaps for Swap Dealers and Major Swa… | 04/09/2020

Notice: Sunshine Act Meetings… | 04/07/2020

 
 
 
DOJ
 
 
 
 

Notice: Notice of Lodging of Proposed Settlement Agreement Under the Atomic En… | 04/08/2020

Agency Update: Best Practices Workshop on Technology in FOIA to Be Held Virtually… | 04/07/2020

 
 
 
DOL
 
 
 
 

Notice: Agency Information Collection Activities; Submission for OMB Review; C… | 04/10/2020

Notice: Agency Information Collection Activities; Submission for OMB Review; C… | 04/09/2020

Notice: Agency Information Collection Activities; Submission for OMB Review; C… | 04/09/2020

Notice: Agency Information Collection Activities; Submission for OMB Review; C… | 04/09/2020

Notice: Employment and Training Administration Proposed Disposal and Reuse of … | 04/08/2020

 
 
 
EBSA
 
 
 
 

News: U.S. Department of Labor… | 04/07/2020

News: U.S. Department of Labor… | 04/06/2020

 
 
 
EOP
 
 
 
 

Presidential Document: Providing Federal Support for Governors’ Use of the National Guard To … | 04/10/2020

Presidential Document: Encouraging International Support for the Recovery and Use of Space Re… | 04/10/2020

Presidential Document: Education and Sharing Day, U.S.A., 2020… | 04/08/2020

Presidential Document: Establishing the Committee for the Assessment of Foreign Participation… | 04/08/2020

Presidential Document: World Autism Awareness Day, 2020… | 04/07/2020

Presidential Document: Providing an Order of Succession Within the Pension Benefit Guaranty C… | 04/07/2020

Presidential Document: Providing Federal Support for Governors’ Use of the National Guard To … | 04/07/2020

Presidential Document: National Donate Life Month, 2020… | 04/06/2020

Presidential Document: Cancer Control Month, 2020… | 04/06/2020

Presidential Document: Continuation of the National Emergency With Respect to Somalia… | 04/06/2020

 
 
 
FDIC
 
 
 
 

News: Banker Webinar: New Transition Provision to Delay the Impact of CECL o… | 04/10/2020

News: Regulatory Relief
Supervisory Practices Regarding Depository Instituti… | 04/10/2020

News: Supervisory and Enforcement Practices Regarding the Mortgage Servicing… | 04/10/2020

Notice: Update to Notice of Financial Institutions for Which the Federal Depos… | 04/09/2020

News: Federal Deposit Insurance Corporation
Office of the Comptroller of the… | 04/09/2020

News: Changes to the Regulatory Capital Rule to Accommodate the Paycheck Pro… | 04/09/2020

Proposed Rule: Unsafe and Unsound Banking Practices: Brokered Deposits Restrictions; … | 04/08/2020

News: Revised Interagency Statement on Loan Modifications by Financial Insti… | 04/07/2020

News: Modifications to the Community Bank Leverage Ratio Framework… | 04/06/2020

 
 
 
FINRA
 
 
 
 
 
 

AWCs (Letters of Acceptance, Waiver, and Consent): William Andrew Wimberly AWCs (Letters of Acceptance, Waiver, and Conse… | 04/10/2020

AWCs (Letters of Acceptance, Waiver, and Consent): Melissa A. Niederhauser AWCs (Letters of Acceptance, Waiver, and Conse… | 04/10/2020

Complaints: James W. Flower Complaints… | 04/10/2020

Complaints: Fusion Analytics Securities, LLC Complaints… | 04/10/2020

AWCs (Letters of Acceptance, Waiver, and Consent): James Richards AWCs (Letters of Acceptance, Waiver, and Consent)… | 04/09/2020

Notices: Regulatory Notice 20-11 FINRA Amends Arbitration Code to Expand Option… | 04/09/2020

Notice: Self-Regulatory Organizations; Financial Industry Regulatory Authority… | 04/09/2020

AWCs (Letters of Acceptance, Waiver, and Consent): Marjorie Ruediger AWCs (Letters of Acceptance, Waiver, and Consent)… | 04/09/2020

AWCs (Letters of Acceptance, Waiver, and Consent): Mack Leon Miller AWCs (Letters of Acceptance, Waiver, and Consent)… | 04/09/2020

AWCs (Letters of Acceptance, Waiver, and Consent): Jeremy Joseph Cook AWCs (Letters of Acceptance, Waiver, and Consent)… | 04/09/2020

 
 
 
FRS
 
 
 
 
 
 

News: Federal Register notice: Regulatory Capital Rule: Paycheck Protection … | 04/09/2020

Notice: Change in Bank Control Notices; Acquisitions of Shares of a Bank or Ba… | 04/09/2020

Notice: Formations of, Acquisitions by, and Mergers of Bank Holding Companies… | 04/09/2020

News: Term Sheet: Municipal Liquidity Facility (PDF) – Federal Reserve takes… | 04/09/2020

News: Federal bank regulators issue interim final rule for Paycheck Protecti… | 04/09/2020

News: Federal Reserve takes additional actions to provide up to $2.3 trillio… | 04/09/2020

News: Term Sheet: Paycheck Protection Program Lending Facility (PDF) – Feder… | 04/09/2020

News: Term Sheet: Main Street Expanded Loan Facility (PDF) – Federal Reserve… | 04/09/2020

News: Term Sheet: Secondary Market Corporate Credit Facility (PDF) – Federal… | 04/09/2020

News: Term Sheet: Primary Market Corporate Credit Facility (PDF) – Federal R… | 04/09/2020

 
 
 
FTC
 
 
 
 
 
 

Proposed Rule: Energy Labeling Rule… | 04/10/2020

Notice: [Ouml]ssur Hf.; Analysis of Agreement Containing Consent Order To Aid … | 04/10/2020

News: FTC Approves Final Order Imposing Conditions on Veterinary Service Pro… | 04/10/2020

News: Federal Trade Commission Closes Investigation of Johnson & Johnson’s P… | 04/10/2020

Agency Update: International Monthly: April 2020… | 04/09/2020

Notice: Tapplock, Inc.; Analysis To Aid Public Comment… | 04/09/2020

Enforcement: FTC Sending Full Refunds to Consumers Who Paid for =E2=80=9CFree=E2=80=9D and =E2=80=9CRisk-Fr… | 04/09/2020

News: FTC Sending Full Refunds to Consumers Who Paid for “Free” and “Risk-Fr… | 04/09/2020

Enforcement: FTC Sends More Than $1 Million in Refunds to Victims of Online Selling… | 04/08/2020

News: FTC Sends More Than $1 Million in Refunds to Victims of Online Selling… | 04/08/2020

 
 
 
Freddie
 
 
 
 

Bulletin: Bulletin 2020-10 Temporary Servicing Guidance Related to COVID-19… | 04/08/2020

 
 
 
INT-BIS
 
 
 
 

News: Jurisdictions move towards full implementation of standards for financ… | 04/08/2020

Agency Update: Does the liquidity trap exist?… | 04/08/2020

News: Jurisdictions move towards full implementation of standards for financ… | 04/08/2020

Agency Update: Basel III Monitoring Report… | 04/08/2020

News: Basel III monitoring results based on end-June 2019 data published by … | 04/08/2020

News: Basel III monitoring results based on end-June 2019 data published by … | 04/08/2020

Agency Update: A New Indicator of Bank Funding Cost… | 04/06/2020

Agency Update: Home sweet host: Prudential and monetary policy spillovers through glo… | 04/06/2020

 
 
 
INT-EC
 
 
 
 

News: The Commission launches a consultation on the renewed sustainable fina… | 04/08/2020

News: The Commission launches a consultation on the renewed sustainable fina… | 04/08/2020

 
 
 
INT-FSB
 
 
 
 

News: FSB reports on its work to develop a roadmap to enhance global cross-b… | 04/09/2020

Agency Update: Enhancing Cross-border Payments – Stage 1 report to the G20 — technic… | 04/09/2020

Agency Update: Enhancing Cross-border Payments – Stage 1 report to the G20 — PDF… | 04/09/2020

Agency Update: Enhancing Cross-border Payments – Stage 1 report to the G20: Technical… | 04/09/2020

Agency Update: Enhancing Cross-border Payments – Stage 1 report to the G20… | 04/09/2020

Agency Update: Enhancing Cross-border Payments – Stage 1 report to the G20 — Enhanci… | 04/09/2020

 
 
 
INT-IOSCO
 
 
 
 

Media Release: Jurisdictions move towards full implementation of standards for financ… | 04/08/2020

Media Release: IOSCO reprioritizes its work program to address impact of COVID-19… | 04/08/2020

 
 
 
NCUA
 
 
 
 

Proposed Rule: Corporate Credit Unions; Extension of Comment Period… | 04/09/2020

 
 
 
NYSE
 
 
 
 

Notice: Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of … | 04/10/2020

Notice: Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of … | 04/09/2020

Notice: Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of … | 04/08/2020

Notice: Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of … | 04/06/2020

 
 
 
OCC
 
 
 
 

News Release: News Release 2020-52… | 04/09/2020

News Release: News Release 2020-51… | 04/09/2020

News Release: News Release 2020-50… | 04/07/2020

News Release: News Release 2020-49… | 04/06/2020

Notice: Agency Information Collection Activities: Information Collection Renew… | 04/06/2020

 
 
 
OFAC
 
 
 
 

Financial Sanction: Issuance of Venezuela-related General License 5C and Amended Frequentl… | 04/10/2020

Final Rule: North Korea Sanctions Regulations… | 04/10/2020

Final Rule: Inflation Adjustment of Civil Monetary Penalties… | 04/09/2020

Financial Sanction: Publication of Amended North Korea Sanctions Regulations… | 04/09/2020

Financial Sanction: Implementation of the Federal Civil Penalties Inflation Adjustment Act… | 04/08/2020

Financial Sanction: Counter Terrorism Designations… | 04/06/2020

 
 
 
RHS
 
 
 
 

Final Rule: Rural Development Guarantee Loan Servicing Flexibilities To Address Co… | 04/08/2020

 
 
 
SEC
 
 
 
 
 
 
 
 

Notice: Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Fil… | 04/10/2020

Notice: Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Fili… | 04/10/2020

Notice: Sunshine Act Meetings… | 04/10/2020

Notice: Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of … | 04/10/2020

Agency Update: Division of Corporation Finance Statement Regarding Requirements for F… | 04/10/2020

Notice: Sunshine Act Meeting; Cancellation… | 04/10/2020

Notice: Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of … | 04/10/2020

Notice: Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Notice of Fili… | 04/10/2020

News: Foreign National and American Trader Settle Fraud Charges in EDGAR Hac… | 04/09/2020

Enforcement: Ieremenko et al…. | 04/09/2020

 
 
 
TREAS
 
 
 
 

News: U.S. Department of the Treasury… | 04/10/2020

News: U.S. Department of the Treasury… | 04/10/2020

News: U.S. Department of the Treasury… | 04/10/2020

News: U.S. Department of the Treasury… | 04/09/2020

Notice: List of Countries Requiring Cooperation With an International Boycott… | 04/09/2020

News: U.S. Department of the Treasury… | 04/09/2020

News: U.S. Department of the Treasury… | 04/09/2020

Notice: Interest Rate Paid on Cash Deposited To Secure U.S. Immigration and Cu… | 04/08/2020

 
 
 
UK-BOE
 
 
 
 
 
 

News: Treasury Select Committee =E2=80=93 Oral evidence =E2=80=93 Economic impact of coronav… | 04/10/2020

News: Financial Policy Committee statement… | 04/09/2020

Agency Update: Bank of England Weekly Report 8 April 2020… | 04/09/2020

News: HM Treasury and Bank of England announce temporary extension to Ways a… | 04/09/2020

News Release: HM Treasury and Bank of England announce temporary extension to Ways a… | 04/09/2020

Weekly report: Bank of England Weekly Report 8 April 2020 — Weekly Report… | 04/09/2020

Weekly report: Bank of England Weekly Report 8 April 2020 — Changes to the Bank’s we… | 04/09/2020

Agency Update: Financial Policy Committee statement… | 04/09/2020

Weekly report: Bank of England Weekly Report 8 April 2020 — Further details about th… | 04/09/2020

Weekly report: Bank of England Weekly Report 8 April 2020 — View and download histor… | 04/09/2020

 
 
 
UK-FCA
 
 
 
 
 
 
 
 

News: Dekocorp / Promotion Corp Solutions Limited… | 04/09/2020

Feedback statements: FS20/3: Temporary financial relief for consumers impacted by coronavir… | 04/09/2020

News: Nimble Markets / Nimble Markets Ltd… | 04/09/2020

Finalised guidance: Overdrafts and coronavirus: temporary guidance for firms… | 04/09/2020

News: Debt Struggles… | 04/09/2020

News: LendInvest Loans Limited (clone of authorised firm)… | 04/09/2020

Finalised guidance: Personal loans and coronavirus: temporary guidance for firms… | 04/09/2020

Finalised guidance: Credit cards (including retail revolving credit) and coronavirus: temp… | 04/09/2020

Feedback statements: FS20/3: Temporary financial relief for consumers impacted by coronavir… | 04/09/2020

News: Coin2FX… | 04/09/2020

 
 
 
UK-HMT
 
 
 
 
 
 

Correspondence: Covid-19: Temporary changes to the Statutory Residence Test… | 04/09/2020

News Story: HM Treasury and Bank of England announce temporary extension of the Wa… | 04/09/2020

National Statistics: GDP deflators at market prices, and money GDP March 2020 (Quarterly Na… | 04/08/2020

News Story: Chancellor sets out extra =C2=A3750 million coronavirus funding for frontli… | 04/08/2020

Speech: Chancellor of the Exchequer, Rishi Sunak on economic support for the c… | 04/08/2020

News Story: Freeports Consultation Extension… | 04/08/2020

 
 
 
UK-ICO
 
 
 
 

News: ICO statement on investigating coronavirus scams… | 04/08/2020

News: Winner of the ICO=E2=80=99s Practitioner Award for Excellence in Data Protecti… | 04/06/2020

 
 
 
UK-PRA
 
 
 
 
 
 

Consultation paper: Regulated fees and levies: Rates proposals 2020/21 – Consultation Pape… | 04/09/2020

Business plan: Prudential Regulation Authority Business Plan 2020/21… | 04/09/2020

Business plan: Prudential Regulation Authority Business Plan 2020/21 – Read our workp… | 04/09/2020

Business plan: Prudential Regulation Authority Business Plan 2020/21 – PRA Business P… | 04/09/2020

Consultation paper: Regulated fees and levies: Rates proposals 2020/21… | 04/09/2020

Statement: PRA decision on Systemic Risk Buffer rates – Statement… | 04/09/2020

Statement: PRA decision on Systemic Risk Buffer rates… | 04/09/2020

Letter: Letter from Credit Union Supervision Team to Directors, Staff members … | 04/08/2020

Statement: PRA statement on decision by insurance companies to pause dividends… | 04/08/2020

Letter: Letter from Credit Union Supervision Team to Directors, Staff members … | 04/08/2020

 
 
 
VA
 
 
 
 

Notice: Genomic Medicine Program Advisory Committee; Meeting… | 04/10/2020

Circular: Circular 26-20-12 – Extended Relief Under the CARES Act for those Affe… | 04/08/2020

 

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