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

-

OFAC enforcements increased 50% over the past 30 days

-

SEC issued enforcements: $88,633,075.00 over the past 30 days

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123 Final Rules go into effect in the next 30 days

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46 Mortgage Lending docs published in the last 7 days

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149 docs with 7429 extracted obligations from the last 7 days

-

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

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8506 new docs in pro.compliance.ai within the last 7 days

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Download the Q3 Enforcement eBook now!

-

Join us Feb 4th at Comply 2021

-

Agency Report Aug 03 - 10

 
 
CFPB
 
 
 
 

Comment: Qualified Mortgage Definition under the Truth in Lending Act (Regulati… | 08/07/2020

Comment: Debt Collection Practices (Regulation F); Public Submission; THE STURD… | 08/07/2020

Comment: Debt Collection Practices (Regulation F); Public Submission; THE STURD… | 08/07/2020

Comment: Qualified Mortgage Definition under the Truth in Lending Act (Regulati… | 08/07/2020

Comment: Qualified Mortgage Definition under the Truth in Lending Act (Regulati… | 08/06/2020

Comment: Debt Collection Practices (Regulation F); Public Submission; Consumer … | 08/05/2020

Comment: Facilitating the LIBOR Transition (Regulation Z); Public Submission; S… | 08/05/2020

Comment: Debt Collection Practices (Regulation F); Public Submission; Americans… | 08/05/2020

Comment: Facilitating the LIBOR Transition (Regulation Z); Public Submission; N… | 08/05/2020

Comment: Debt Collection Practices (Regulation F); Public Submission; David McM… | 08/05/2020

 
 
 
CFTC
 
 
 
 

Notice: Agency Information Collection Activities: Notice of Intent To Revise C… | 08/05/2020

News: NYMEX and Two Former Employees to Pay $4 Million for Disclosing Materi… | 08/04/2020

Enforcement: Consent Order: William Byrnes, et al…. | 08/04/2020

 
 
 
DOJ
 
 
 
 

Notice: Agency Information Collection Activities; Proposed eCollection, eComme… | 08/10/2020

Notice: Agency Information Collection Activities; Proposed eCollection, eComme… | 08/10/2020

Notice: Agency Information Collection Activities; Proposed eCollection, eComme… | 08/10/2020

Notice: Agency Information Collection Activities; Proposed eCollection, eComme… | 08/10/2020

Notice: Agency Information Collection Activities; Proposed eCollection, eComme… | 08/10/2020

Agency Update: OPDAT Counterterrorism Malaysia Hosts Virtual Webinar on Seizing and M… | 08/06/2020

Proposed Rule: Manner of Federal Executions… | 08/05/2020

Agency Update: Bosnia-Herzegovina: ICITAP-Supported Police Academy Achieves Internati… | 08/04/2020

 
 
 
DOL
 
 
 
 

Notice: Meeting of the Labor Advisory Committee for Trade Negotiations and Tra… | 08/10/2020

Notice: Agency Information Collection Activities; Submission for OMB Review; C… | 08/10/2020

Notice: Agency Information Collection Activities; Submission for OMB Review; C… | 08/10/2020

Notice: Request for Comments for Dominican Republic-Central America-United Sta… | 08/04/2020

 
 
 
EOP
 
 
 
 

Presidential Document: Extension of the Use of the National Guard To Respond to COVID-19 and … | 08/06/2020

Presidential Document: Extension of the Use of the National Guard To Respond to COVID-19 and … | 08/06/2020

Presidential Document: Aligning Federal Contracting and Hiring Practices With the Interests o… | 08/06/2020

Presidential Document: Improving Rural Health and Telehealth Access… | 08/06/2020

Presidential Document: Extension of the Use of the National Guard To Respond to COVID-19 and … | 08/06/2020

 
 
 
FDIC
 
 
 
 

Notice: Agency Information Collection Activities: Submission for OMB Review; C… | 08/07/2020

Notice: Notice of Termination of Receiverships… | 08/06/2020

Notice: Notice of the FDIC’s Response to Exception Requests Pursuant To Record… | 08/04/2020

 
 
 
FFIEC
 
 
 
 

News: Federal Financial Institutions Examination Council Issues Statement on… | 08/03/2020

 
 
 
FINCEN
 
 
 
 

Final Rule: Financial Crimes Enforcement Network; Repeal of Special Measure Involv… | 08/10/2020

Notice: Agency Information Collection Activities; Proposed Renewal; Comment Re… | 08/10/2020

Final Rule: Financial Crimes Enforcement Network; Withdrawal of the Notice of Find… | 08/10/2020

 
 
 
FINRA
 
 
 
 
 
 

AWCs (Letters of Acceptance, Waiver, and Consent): Steven Michael Voce AWCs (Letters of Acceptance, Waiver, and Consent)… | 08/07/2020

AWCs (Letters of Acceptance, Waiver, and Consent): Sylvester Knox AWCs (Letters of Acceptance, Waiver, and Consent)… | 08/06/2020

Notice: Self-Regulatory Organizations; Financial Industry Regulatory Authority… | 08/06/2020

AWCs (Letters of Acceptance, Waiver, and Consent): Serge Parakhnevich AWCs (Letters of Acceptance, Waiver, and Consent)… | 08/06/2020

AWCs (Letters of Acceptance, Waiver, and Consent): Corecap Investments, LLC AWCs (Letters of Acceptance, Waiver, and Cons… | 08/06/2020

AWCs (Letters of Acceptance, Waiver, and Consent): Omar Waleed Hammad-Randolph AWCs (Letters of Acceptance, Waiver, and C… | 08/06/2020

AWCs (Letters of Acceptance, Waiver, and Consent): AWCs (Letters of Acceptance, Waiver, and Consent)… | 08/05/2020

AWCs (Letters of Acceptance, Waiver, and Consent): Shaun C. Simmons AWCs (Letters of Acceptance, Waiver, and Consent)… | 08/05/2020

Notices: Regulatory Notice 20-26 FINRA Shares Practices Firms Implemented to Pr… | 08/05/2020

Notice: Self-Regulatory Organizations; Financial Industry Regulatory Authority… | 08/04/2020

 
 
 
FRS
 
 
 
 
 
 

Notice: Change in Bank Control Notices; Acquisitions of Shares of a Bank or Ba… | 08/10/2020

Press Release: Federal Reserve Board issues enforcement action with Capital One Finan… | 08/06/2020

Speech: The Future of Retail Payments in the United States – Governor Lael Bra… | 08/06/2020

Press Release: Federal Reserve announces details of new 24x7x365 interbank settlement… | 08/06/2020

Press Release: Federal Register notice: Service Details on Federal Reserve Actions to… | 08/06/2020

Notice: Change in Bank Control Notices; Acquisitions of Shares of a Bank or Ba… | 08/05/2020

Press Release: Attachment (PDF) – Federal Reserve Board announces approval of the app… | 08/04/2020

Press Release: Federal Reserve Board announces approval of the application by Apex Ba… | 08/04/2020

SR Letter: SR 20-18 / CA 20-13 Joint Statement on Additional Loan Accommodations … | 08/03/2020

Consumer Affairs Letters: SR 20-18 / CA 20-13 Joint Statement on Additional Loan Accommodations … | 08/03/2020

 
 
 
FTC
 
 
 
 
 
 

Blog: Real deadlines and real consequences… | 08/06/2020

Complaint: Complaint for Permanent Injunction and Other Equitable Relief (230.26 … | 08/05/2020

Agency Update: Competition
FTC Testifies At an Oversight Hearing before the Senate Co… | 08/05/2020

Complaint: Complaint for Permanent Injunction and Other Equitable Relief (650.72 … | 08/05/2020

Complaint: Complaint for Permanent Injunction and Other Equitable Relief (554.37 … | 08/05/2020

News: FTC Acts Against Online Sellers That Falsely Promised Fast Delivery of… | 08/05/2020

News: FTC Testifies At an Oversight Hearing before the Senate Commerce Commi… | 08/05/2020

News: FTC Testimony Before the U.S. Senate Committee on Commerce, Science, a… | 08/05/2020

Event: FTC Testimony Before the U.S. Senate Committee on Commerce, Science, a… | 08/05/2020

Event: Working Together to Serve Diverse Communities: A Virtual Resource Fair… | 08/04/2020

 
 
 
Fannie
 
 
 
 

Industry Guidance: Announcement SEL-2020-04 – Selling Guide Updates… | 08/05/2020

 
 
 
Freddie
 
 
 
 

Bulletin: Bulletin 2020-31 Selling… | 08/05/2020

 
 
 
INT-FSB
 
 
 
 

Agency Update: Public responses to consultation on Effective Practices for Cyber Inci… | 08/04/2020

Agency Update: Public responses to consultation on Effective Practices for Cyber Inci… | 08/04/2020

Agency Update: Public responses to consultation on Effective Practices for Cyber Inci… | 08/04/2020

Agency Update: Public responses to consultation on Effective Practices for Cyber Inci… | 08/04/2020

Agency Update: Public responses to consultation on Effective Practices for Cyber Inci… | 08/04/2020

Agency Update: Public responses to consultation on Effective Practices for Cyber Inci… | 08/04/2020

Agency Update: Public responses to consultation on Effective Practices for Cyber Inci… | 08/04/2020

Agency Update: Public responses to consultation on Effective Practices for Cyber Inci… | 08/04/2020

Agency Update: Public responses to consultation on Effective Practices for Cyber Inci… | 08/04/2020

Agency Update: Public responses to consultation on Effective Practices for Cyber Inci… | 08/04/2020

 
 
 
INT-TWG
 
 
 
 

News: Publication of Source of Wealth and Source of Funds (Private Banking/W… | 08/07/2020

 
 
 
NYSE
 
 
 
 

Notice: Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of … | 08/07/2020

Notice: Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of … | 08/07/2020

Notice: Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of … | 08/05/2020

Notice: Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of … | 08/05/2020

 
 
 
OCC
 
 
 
 

News Release: NR 2020-102 OCC Reduces September 2020 Assessments in Response to COVI… | 08/07/2020

News Release: News Release 2020-102… | 08/07/2020

News Release: NR 2020-103 OCC Releases CRA Evaluations for 30 National Banks and Fed… | 08/07/2020

Bulletin: OCC 2020-73 Office of the Comptroller of the Currency Fees and Assessm… | 08/07/2020

News Release: NR 2020-101 OCC Assesses $80 Million Civil Money Penalty Against Capit… | 08/06/2020

News Release: News Release 2020-101… | 08/06/2020

Comment: Activities and Operations of National Banks and Federal Savings Associ… | 08/05/2020

Comment: National Bank and Federal Savings
Association Digital Activities; Publ… | 08/05/2020

Comment: Loans in Areas Having Special Flood Hazards; Interagency Questions and… | 08/05/2020

Comment: Loans in Areas Having Special Flood Hazards; Interagency Questions and… | 08/05/2020

 
 
 
OFAC
 
 
 
 

Financial Sanction: Hong Kong-related Designations; Central African Republic Designation… | 08/07/2020

Notice: Notice of OFAC Sanctions Actions… | 08/06/2020

Financial Sanction: Libya Designations… | 08/06/2020

Notice: Notice of OFAC Sanctions Actions… | 08/06/2020

Notice: Notice of OFAC Sanctions Action… | 08/04/2020

 
 
 
SEC
 
 
 
 
 
 

Notice: Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of … | 08/10/2020

Notice: Self-Regulatory Organizations; LCH SA; Notice of Filing of Proposed Ru… | 08/10/2020

Notice: Self-Regulatory Organizations; NYSE Chicago, Inc.; Notice of Filing an… | 08/10/2020

Notice: Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing a… | 08/10/2020

Notice: Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and I… | 08/10/2020

Notice: Self-Regulatory Organizations; Investors Exchange LLC; Notice of Filin… | 08/10/2020

Notice: Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Order Institut… | 08/10/2020

Notice: Self-Regulatory Organizations; Cboe C2 Exchange, Inc.; Notice of Filin… | 08/10/2020

Enforcement: Rialto Capital Management, LLC… | 08/07/2020

Notice: Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Notice of Fili… | 08/07/2020

 
 
 
TREAS
 
 
 
 

News: U.S. Department of the Treasury… | 08/09/2020

News: U.S. Department of the Treasury… | 08/07/2020

News: U.S. Department of the Treasury… | 08/07/2020

News: U.S. Department of the Treasury… | 08/06/2020

News: U.S. Department of the Treasury… | 08/06/2020

News: U.S. Department of the Treasury… | 08/06/2020

News: U.S. Department of the Treasury… | 08/05/2020

News: U.S. Department of the Treasury… | 08/05/2020

News: U.S. Department of the Treasury… | 08/05/2020

News: U.S. Department of the Treasury… | 08/05/2020

 
 
 
UK-BOE
 
 
 
 
 
 

Agency Update: Statistical Notice 2020/08… | 08/10/2020

Agency Update: Agency Network briefing event – August 2020… | 08/10/2020

Financial Stability: Technical annex: Updated estimates of the cash-flow deficit of UK comp… | 08/07/2020

Financial Stability: Technical annex: Updated estimates of the cash-flow deficit of UK comp… | 08/07/2020

Working Paper: Capital flows-at-risk: push, pull and the role of policy… | 08/07/2020

Agency Update: Monetary Policy Report and Financial Stability Report – August 2020 –… | 08/06/2020

Agency Update: Monetary Policy Report and Financial Stability Report – August 2020 –… | 08/06/2020

Agency Update: Monetary Policy Report and Financial Stability Report – August 2020 –… | 08/06/2020

Agency Update: Monetary Policy Report and Financial Stability Report – August 2020 –… | 08/06/2020

Agency Update: Monetary Policy Report and Financial Stability Report – August 2020 –… | 08/06/2020

 
 
 
UK-CMA
 
 
 
 

Press Release: Competition concerns in retail investment software merger… | 08/05/2020

Press Release: CMA clears Amazon’s 16% investment in Deliveroo… | 08/04/2020

 
 
 
UK-FCA
 
 
 
 
 
 

Publication: Reporting obligations for audit firms… | 08/10/2020

News: Bleaxmond a trading style of AlephLink Solutions Ltd… | 08/07/2020

News: Ellison Partners (claims to be trading name of Amsterdams Effectenkant… | 08/07/2020

News: Claims Advice Bureau (Clone of an FCA authorised firm)… | 08/07/2020

News: Advance Credit Union (Clone of FCA authorised firm)… | 08/07/2020

News: ForexGrowths (clone of authorised firm)… | 08/07/2020

News: Navifx (clone of authorised firm)… | 08/07/2020

News: Capital market regulation and coronavirus… | 08/07/2020

News: Financial & Risk Organisation Limited (clone of UK registered company)… | 08/07/2020

News: Remaxima… | 08/06/2020

 
 
 
UK-HMT
 
 
 
 
 
 

Press Release: Coronavirus support measures help 65,000 businesses in Scotland… | 08/07/2020

Research: Anti-money laundering and counter-terrorist financing: supervision rep… | 08/06/2020

Guidance: Public sector annual reports: sustainability reporting guidance 2020 t… | 08/06/2020

News Story: Coronavirus support measures help every region and nation in the UK… | 08/06/2020

News Story: Joint Statement on the U.S. – UK Financial Innovation Partnership meet… | 08/06/2020

Research: UK official holdings of international reserves: December 2011… | 08/05/2020

Research: UK official holdings of international reserves: July 2020… | 08/05/2020

Research: UK official holdings of international reserves: September 2010… | 08/05/2020

 
 
 
UK-ICO
 
 
 
 

Agency Update: Rain Trading Ltd… | 08/03/2020

 
 
 
UK-LSB
 
 
 
 

News: FCA confirms recognition for the LSB’s update to Standards for CBILS a… | 08/05/2020

News: FCA confirms recognition for the LSB’s update to Standards for CBILS a… | 08/05/2020

News: FCA confirms recognition for the LSB’s update to Standards for CBILS a… | 08/05/2020

News: FCA confirms recognition for the LSB’s update to Standards for CBILS a… | 08/05/2020

 
 
 
UK-PRA
 
 
 
 

Policy statement: Financial Services Compensation Scheme – Temporary High Balance Covera… | 08/04/2020

Policy statement: Financial Services Compensation Scheme – Temporary High Balance Covera… | 08/04/2020

Policy statement: Financial Services Compensation Scheme – Temporary High Balance Covera… | 08/04/2020

PRA Regulatory Digest: PRA Regulatory Digest – July 2020… | 08/03/2020

 
 
 
VA
 
 
 
 

Notice: Health Services Research and Development Service Scientific Merit Revi… | 08/05/2020

 

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