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

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FINRA enforcements increased 21% over the past 30 days

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FTC issued enforcements: $8,726,254.27 over the past 30 days

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165 Final Rules go into effect in the next 30 days

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55 Mortgage Lending docs published in the last 7 days

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5330 docs with 12540 extracted obligations from the last 7 days

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

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11225 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

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Agency Report April 20 - 27

 
 
CA-CANLII
 
 
 
 

Agency Update: Order Declaring that the Provisions of the Regulations Respecting Redu… | 04/23/2020

Agency Update: Northwest Territories Fishery Regulations, CRC, c 847 [Modified on Apr… | 04/23/2020

Agency Update: Income Support Payment Amount Regulations, SOR/2020-62 [Modified on Ap… | 04/23/2020

 
 
 
CFPB
 
 
 
 

Final Rule: Treatment of Pandemic Relief Payments Under Regulation E and Applicati… | 04/27/2020

Press release: Consumer Financial Protection Bureau Outlines Mortgage Loan Transfer P… | 04/24/2020

Blog: Evite estafas mientras busca ayuda durante la cuarentena… | 04/22/2020

Blog: Planning your finances for an uncertain future… | 04/22/2020

Press release: Media Advisory: Consumer Financial Protection Bureau Releases Video fo… | 04/21/2020

Press release: Consumer Financial Protection Bureau Advisory Committees to Meet on Ma… | 04/20/2020

 
 
 
CFTC
 
 
 
 
 
 

Notice: Sunshine Act Meetings… | 04/27/2020

Notice: Agency Information Collection Activities: Notice of Intent To Revise C… | 04/27/2020

Notice: Agency Information Collection Activities Under OMB Review… | 04/27/2020

Agency Update: 20-16… | 04/24/2020

Proposed Rule: Extension of Currently Open Comment Periods for Rulemakings in Respons… | 04/23/2020

News: Federal Court Orders Defendants to Pay Over $1.7 Million to Settle CFT… | 04/23/2020

Enforcement: Order: FuturesFX, et al… | 04/23/2020

Notice: Global Markets Advisory Committee… | 04/23/2020

Agency Update: 20-15… | 04/22/2020

Notice: Agricultural Advisory Committee Meeting… | 04/21/2020

 
 
 
DOJ
 
 
 
 

Notice: Agency Information Collection Activities; Proposed eCollection eCommen… | 04/24/2020

Notice: Agency Information Collection Activities; Proposed eCollection eCommen… | 04/24/2020

Notice: Agency Information Collection Activities; Proposed eCollection eCommen… | 04/22/2020

Notice: Notice of Lodging of Proposed Consent Decree Under the Comprehensive E… | 04/22/2020

Notice: Agency Information Collection Activities; Proposed eCollection eCommen… | 04/22/2020

Notice: Agency Information Collection Activities; Proposed eCollection eCommen… | 04/22/2020

Agency Update: Courts, Police and Advocates Use Technology During Pandemic to Help Pr… | 04/21/2020

Notice: Agency Information Collection Activities: Proposed Collection; Comment… | 04/20/2020

Notice: Agency Information Collection Activities; Proposed eCollection eCommen… | 04/20/2020

Agency Update: Pandemic Punctuates 19th Annual National Sexual Assault Awareness and … | 04/20/2020

 
 
 
DOL
 
 
 
 

Notice: Agency Information Collection Activities; Submission for OMB Review; C… | 04/23/2020

Notice: Agency Information Collection Activities; Submission for OMB Review; C… | 04/22/2020

Notice: Agency Information Collection Activities; Submission for OMB Review; C… | 04/22/2020

 
 
 
EBSA
 
 
 
 

News: Statement by Secretary of Labor Eugene Scalia on Departure of Assistan… | 04/24/2020

 
 
 
EOP
 
 
 
 

Presidential Document: Suspension of Entry of Immigrants Who Present a Risk to the United Sta… | 04/27/2020

Presidential Document: Providing Continued Federal Support for Governors’ Use of the National… | 04/24/2020

Presidential Document: National Volunteer Week, 2020… | 04/23/2020

Presidential Document: National Emergency Authority To Temporarily Extend Deadlines for Certa… | 04/23/2020

Presidential Document: National Park Week, 2020… | 04/23/2020

Presidential Document: National Crime Victims’ Rights Week, 2020… | 04/23/2020

Presidential Document: Days of Remembrance of Victims of the Holocaust, 2020… | 04/23/2020

Presidential Document: Delegation of Certain Functions and Authorities Under the National Def… | 04/22/2020

 
 
 
FDIC
 
 
 
 

News: Small Business Administration (SBA) and U.S. Department of Treasury An… | 04/25/2020

Final Rule: Regulatory Capital Rule: Transition for the Community Bank Leverage Ra… | 04/23/2020

News: Banker Webinar: How to Become a Paycheck Protection Program (PPP) Lend… | 04/22/2020

News: Technical Corrections to the Revised Transition of the Current Expecte… | 04/22/2020

News: Regulatory Relief
Supervisory Practices Regarding Depository Instituti… | 04/21/2020

Final Rule: Regulatory Capital Rule: Paycheck Protection Program Lending Facility … | 04/21/2020

 
 
 
FINRA
 
 
 
 

AWCs (Letters of Acceptance, Waiver, and Consent): Sandra Gose Stevens AWCs (Letters of Acceptance, Waiver, and Consent)… | 04/24/2020

AWCs (Letters of Acceptance, Waiver, and Consent): Steven Todd Gary AWCs (Letters of Acceptance, Waiver, and Consent)… | 04/24/2020

AWCs (Letters of Acceptance, Waiver, and Consent): Jonathan Scot Zwickel AWCs (Letters of Acceptance, Waiver, and Consent… | 04/23/2020

AWCs (Letters of Acceptance, Waiver, and Consent): James Lee AWCs (Letters of Acceptance, Waiver, and Consent)… | 04/23/2020

AWCs (Letters of Acceptance, Waiver, and Consent): David Weisberg AWCs (Letters of Acceptance, Waiver, and Consent)… | 04/22/2020

AWCs (Letters of Acceptance, Waiver, and Consent): Paul David Weiss AWCs (Letters of Acceptance, Waiver, and Consent)… | 04/22/2020

Complaints: Integrity Brokerage Services, Inc. Joshua Helmle, Marc N. Jaffe, Andre… | 04/22/2020

AWCs (Letters of Acceptance, Waiver, and Consent): Owen Arthur May AWCs (Letters of Acceptance, Waiver, and Consent)… | 04/21/2020

AWCs (Letters of Acceptance, Waiver, and Consent): Jeffrey Hall Heely AWCs (Letters of Acceptance, Waiver, and Consent)… | 04/21/2020

AWCs (Letters of Acceptance, Waiver, and Consent): Yee Htwe AWCs (Letters of Acceptance, Waiver, and Consent)… | 04/21/2020

 
 
 
FRS
 
 
 
 

Notice: Formations of, Acquisitions by, and Mergers of Bank Holding Companies… | 04/27/2020

News: Agency Information Collection Activities: Announcement of Temporary Ap… | 04/24/2020

Notice: Notice of Proposals To Engage in or To Acquire Companies Engaged in Pe… | 04/24/2020

News: Regulation D: Reserve Requirements of Depository Institutions (PDF) – … | 04/24/2020

News: Federal Reserve Board announces interim final rule to delete the six-p… | 04/24/2020

Notice: Change in Bank Control Notices; Acquisitions of Shares of a Bank or Ba… | 04/24/2020

Final Rule: Regulatory Capital Rule: Transition for the Community Bank Leverage Ra… | 04/23/2020

Final Rule: FEDERAL DEPOSIT INSURANCE CORPORATION… | 04/23/2020

News: Federal Reserve announces it is working to expand access to its Payche… | 04/23/2020

News: Federal Reserve Board announces temporary actions aimed at increasing … | 04/23/2020

 
 
 
FTC
 
 
 
 

Notice: Postponement of Public Workshop Related to Proposed Changes to the Saf… | 04/27/2020

News: Chmn. Simons panelist in ABA Antitrust Law Section Virtual Spring Meet… | 04/24/2020

News: FTC Sends Warning Letters to Multi-Level Marketers Regarding Health an… | 04/24/2020

News: FTC Chairman’s Statement Regarding the Court’s Approval of the Faceboo… | 04/24/2020

News: FTC Chairman Releases 2019 Annual Highlights… | 04/23/2020

News: FTC Sends 21 Letters Warning Marketers to Stop Making Unsupported Clai… | 04/23/2020

Notice: Axon Enterprise, Inc. and Safariland, LLC; Analysis of Consent Order T… | 04/23/2020

News: Credit Card Launderer for Tech Support Scams to Pay $6.75 Million to S… | 04/22/2020

News: Fashion Nova Will Pay $9.3 Million for Consumer Refunds To Settle FTC … | 04/21/2020

News: FTC Safeguards Workshop Postponed Until July 13, 2020, Will be Held On… | 04/21/2020

 
 
 
Freddie
 
 
 
 

Bulletin: Bulletin 2020-13 Selling… | 04/22/2020

Bulletin: Bulletin 2020-13 Selling Updates… | 04/22/2020

Bulletin: Bulletin 2020-12 Temporary Selling Requirements for Mortgages in COVID… | 04/22/2020

 
 
 
INT-BIS
 
 
 
 

Agency Update: Post-crisis international financial regulatory reforms: a primer… | 04/23/2020

Agency Update: The Janus face of bank geographic complexity… | 04/20/2020

 
 
 
INT-FSB
 
 
 
 

Consultations: Effective Practices for Cyber Incident Response and Recovery: Consulta… | 04/20/2020

News: FSB consults on effective practices for cyber incident response and re… | 04/20/2020

Consultations: Effective Practices for Cyber Incident Response and Recovery: Consulta… | 04/20/2020

 
 
 
NCUA
 
 
 
 

Final Rule: Regulatory Capital Rule: Paycheck Protection Program Lending Facility … | 04/27/2020

Notice: Agency Information Collection Activities: Proposed Collection; Comment… | 04/24/2020

Final Rule: Real Estate Appraisals… | 04/21/2020

Final Rule: Temporary Regulatory Relief in Response to COVID-19… | 04/21/2020

 
 
 
NYSE
 
 
 
 

Notice: Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of … | 04/27/2020

Notice: Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of … | 04/27/2020

Notice: Self-Regulatory Organizations; New York Stock Exchange LLC; Order Inst… | 04/24/2020

Notice: Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of … | 04/23/2020

Notice: Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of … | 04/20/2020

 
 
 
OCC
 
 
 
 

Final Rule: FEDERAL DEPOSIT INSURANCE CORPORATION… | 04/23/2020

Final Rule: Regulatory Capital Rule: Transition for the Community Bank Leverage Ra… | 04/23/2020

 
 
 
OFAC
 
 
 
 

Notice: Notice of OFAC Sanctions Actions… | 04/27/2020

Notice: Notice of OFAC Sanctions Actions… | 04/27/2020

Financial Sanction: Counter Narcotics Designations Removals; Libya Designations Updates… | 04/22/2020

Financial Sanction: Issuance of Venezuela-related General License 8F… | 04/21/2020

Financial Sanction: The Office of Foreign Assets Control (OFAC) Encourages Persons to Comm… | 04/20/2020

 
 
 
RHS
 
 
 
 

Final Rule: Notification of Direct Loan Payment Deferrals for the Community Facili… | 04/21/2020

 
 
 
SEC
 
 
 
 
 
 

Notice: Self-Regulatory Organizations; NYSE Chicago, Inc.; Notice of Filing an… | 04/27/2020

Notice: Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of … | 04/27/2020

Notice: Invesco Advisers, Inc., et al…. | 04/27/2020

Notice: Sunshine Act Meetings… | 04/27/2020

Notice: Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Fili… | 04/27/2020

Notice: Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and I… | 04/27/2020

Notice: Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of … | 04/27/2020

Notice: Self-Regulatory Organizations; Cboe EDGA Exchange, Inc.; Notice of Fil… | 04/27/2020

Notice: Principal Funds, Inc. et al…. | 04/27/2020

Notice: Joint Industry Plan; Order Approving the Twentieth Amendment to the Na… | 04/27/2020

 
 
 
TREAS
 
 
 
 
 
 

Notice: Agency Information Collection Activities; Submission for OMB Review; C… | 04/27/2020

Notice: 2020 Report on the Effectiveness of the Terrorism Risk Insurance Progr… | 04/27/2020

Notice: Open Meeting of the Advisory Committee on Risk-Sharing Mechanisms… | 04/27/2020

News: U.S. Department of the Treasury… | 04/26/2020

Agency Update: Treasury Implementing CARES Act Programs for Aviation and National Sec… | 04/25/2020

News: U.S. Department of the Treasury… | 04/24/2020

News: U.S. Department of the Treasury… | 04/23/2020

Final Rule: Temporary Postponement of the Time To Deposit Certain Estimated Duties… | 04/22/2020

News: U.S. Department of the Treasury… | 04/22/2020

News: U.S. Department of the Treasury… | 04/20/2020

 
 
 
UK-BOE
 
 
 
 
 
 

Agency Update: Asset Purchase Facility Quarterly Report – 2020 Q1 — news, publicatio… | 04/27/2020

Agency Update: Asset Purchase Facility Quarterly Report – 2020 Q1 — results and usag… | 04/27/2020

Agency Update: Asset Purchase Facility Quarterly Report – 2020 Q1… | 04/27/2020

Agency Update: Workers, capitalists, and the government: fiscal policy and income (re… | 04/24/2020

Agency Update: The missing link: monetary policy and the labor share… | 04/24/2020

Agency Update: Understanding US export dynamics: does modelling the extensive margin … | 04/24/2020

News: Extension of the Contingent Term Repo Facility (CTRF) – Market Notice … | 04/24/2020

Working Paper: Workers, capitalists, and the government: fiscal policy and income (re… | 04/24/2020

Working Paper: Understanding US export dynamics: does modelling the extensive margin … | 04/24/2020

Working Paper: Workers, capitalists, and the government: fiscal policy and income (re… | 04/24/2020

 
 
 
UK-CMA
 
 
 
 

News Story: CMA gives Just Eat and Takeaway.com deal the green light… | 04/23/2020

News Story: Cellnex’s purchase of Arqiva cleared by CMA after thorough review… | 04/22/2020

News Story: COVID-19: CMA approach to merger assessments… | 04/22/2020

Press Release: Metro Bank customers receive =C2=A310.5m overdraft fee refund… | 04/20/2020

Correspondence: CMA letter to Metro Bank on breaches of the Retail Banking Order… | 04/20/2020

 
 
 
UK-FCA
 
 
 
 
 
 

News: Apex Capital Associates… | 04/27/2020

News: South West Capital Partners LLP… | 04/27/2020

News: Nat International Funds (Clone firm)… | 04/27/2020

News: Deutsche Bank UK / DB UK (Clone of FCA Authorised firm)… | 04/27/2020

News: Forex Boss Ahmed… | 04/27/2020

News: Integral Development Asset Management (Clone firm)… | 04/24/2020

Finalised guidance: Motor finance agreements and coronavirus: temporary guidance for firms… | 04/24/2020

Finalised guidance: High-cost short-term credit and coronavirus: temporary guidance for fi… | 04/24/2020

Finalised guidance: Rent-to-own, buy-now pay-later and pawnbroking agreements and coronavi… | 04/24/2020

Finalised guidance: Coronavirus (Covid-19) motor finance and high cost credit final instru… | 04/24/2020

 
 
 
UK-HMT
 
 
 
 
 
 

Guidance: Financial sanctions, Myanmar (Burma)… | 04/27/2020

News Story: Emergency fund of up to =C2=A310.5 million to support lifeline transport li… | 04/24/2020

Correspondence: Letter to Home Office (23 April 2020)… | 04/23/2020

Correspondence: Letter to Home Office (23 April 2020)… | 04/23/2020

News Story: HM Treasury announces revision to the UK Debt Management Office’s fina… | 04/23/2020

Html Publication: Agile digital and IT projects: clarification of business case guidance… | 04/23/2020

Correspondence: Letter to front line staff providing essential banking services… | 04/21/2020

Speech: Chancellor delivers daily coronavirus update (20 April 2020)… | 04/20/2020

News Story: Billion pound support package for innovative firms hit by coronavirus… | 04/20/2020

Press Release: Government launches new coronavirus business support finder tool… | 04/20/2020

 
 
 
UK-ICO
 
 
 
 

News: Statement in response to details about an NHSX contact tracing app to … | 04/24/2020

 
 
 
UK-PRA
 
 
 
 

Statement: Follow-up note to insurers on the letter from Sam Woods ‘Covid-19: IFR… | 04/23/2020

Statement: Q&A on the usability of liquidity and capital buffers… | 04/20/2020

Statement: Q&A on the usability of liquidity and capital buffers – Q&A… | 04/20/2020

 
 
 
VA
 
 
 
 

Notice: Advisory Committee on Cemeteries and Memorials, Notice of Meeting… | 04/27/2020

Notice: Agency Information Collection Activity: VA Form 26-6705, Offer To Purc… | 04/27/2020

Notice: Privacy Act of 1974; System of Records… | 04/24/2020

Notice: Privacy Act of 1974; System of Records… | 04/24/2020

Notice: Agency Information Collection Activity: State Approving Agency Reports… | 04/24/2020

Notice: Veterans and Community Oversight and Engagement Board, Notice of Meeti… | 04/23/2020

Notice: Agency Information Collection Activity: Financial Statement… | 04/23/2020

Notice: Privacy Act of 1974; System of Records… | 04/23/2020

Notice: Agency Information Collection Activity Under OMB Review: VA Financial … | 04/23/2020

Notice: Privacy Act of 1974; System of Records… | 04/23/2020

 

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