Regulatory Agency Updates | Week of August 05 to August 12

Regulatory Agency Updates | Week of Aug 05 - Aug 12

 
 
CA-CANLII
 
 
 
 

Agency Update: NAFTA Rules of Origin Regulations, SOR/94-14 [Modified on Jun 17, 2019… | 08/05/2019

Agency Update: Brokering Control List, SOR/2019-220 [Modified]… | 08/05/2019

Agency Update: Brokering Permit Regulations, SOR/2019-221 [Modified]… | 08/05/2019

Agency Update: Precious Metals Marking Regulations, CRC, c 1303 [Modified on Jun 17, … | 08/05/2019

Agency Update: Safety of Sperm and Ova Regulations, SOR/2019-192 [Modified]… | 08/05/2019

Agency Update: Specifications Relating to Non-automatic Weighing Devices (1998), SI/9… | 08/05/2019

Agency Update: Patent Rules, SOR/96-423 [Modified on Jun 17, 2019]… | 08/05/2019

Agency Update: Life Saving Equipment Regulations, CRC, c 1436 [Modified on Jun 17, 20… | 08/05/2019

Agency Update: Indian Oil and Gas Regulations, SOR/2019-196 [Modified]… | 08/05/2019

Agency Update: Activities that Do Not Constitute Brokering, Regulations Specifying, S… | 08/05/2019

 
 
 
CA-OPC
 
 
 
 

News: Joint statement on global privacy expectations of the Libra network… | 08/05/2019

News: Announcement: Joint international statement on global privacy expecta… | 08/05/2019

 
 
 
CFPB
 
 
 
 

Notice: Agency Information Collection Activities: Submission for OMB Review; C… | 08/06/2019

News: An update on credit access and the Bureau=E2=80=99s first No-Action Letter… | 08/06/2019

Notice: Agency Information Collection Activities: Submission for OMB Review; C… | 08/05/2019

 
 
 
CFTC
 
 
 
 

News: Federal Court Orders Defendants to Pay More Than $2.7 Million in a For… | 08/09/2019

Final Rule: Revisions to Prohibitions and Restrictions on Proprietary Trading and … | 08/06/2019

 
 
 
DOJ
 
 
 
 

Notice: Notice of Lodging of Proposed Consent Decree Under the Oil Pollution A… | 08/12/2019

Notice: Agency Information Collection Activities: Proposed New Information Col… | 08/12/2019

Notice: Agency Information Collection Activities; Proposed eCollection eCommen… | 08/07/2019

Notice: Agency Information Collection Activities; Proposed eCollection eCommen… | 08/07/2019

Notice: Agency Information Collection Activities; Proposed eCollection eCommen… | 08/07/2019

Notice: Agency Information Collection Activities; Proposed eCollection eCommen… | 08/06/2019

Notice: Agency Information Collection Activities Proposed eCollection eComment… | 08/05/2019

 
 
 
DOL
 
 
 
 

Notice: Agency Information Collection Activities; Submission for OMB Review; C… | 08/09/2019

Notice: Agency Information Collection Activities; Submission for OMB Review; C… | 08/08/2019

 
 
 
EBSA
 
 
 
 

Notice: Advisory Council on Employee Welfare and Pension Benefit Plans; Nomina… | 08/05/2019

 
 
 
EOP
 
 
 
 

Presidential Document: Honoring the Victims of the Tragedies in El Paso, Texas, and Dayton, O… | 08/08/2019

Presidential Document: Blocking Property of the Government of Venezuela… | 08/07/2019

Presidential Document: Delegation of Authority Under the Asia Reassurance Initiative Act of 2… | 08/05/2019

Presidential Document: Continuation of U.S. Drug Interdiction Assistance to the Government of… | 08/05/2019

Presidential Document: Administration of Proliferation Sanctions and Amendment of Executive O… | 08/05/2019

 
 
 
FDIC
 
 
 
 

Notice: Notice of Termination of Receiverships… | 08/07/2019

Final Rule: Revisions to Prohibitions and Restrictions on Proprietary Trading and … | 08/06/2019

 
 
 
FFIEC
 
 
 
 

Notice: Appraisal Subcommittee; Final Order Granting in Part Temporary Waiver … | 08/07/2019

 
 
 
FINRA
 
 
 
 

Enforcement: Thomas Raymond Williams… | 08/09/2019

Enforcement: Steve Baptist… | 08/08/2019

Enforcement: Jollene J. Austin… | 08/08/2019

Enforcement: Richard J. Coleman… | 08/08/2019

Enforcement: Lisa Acca… | 08/08/2019

Enforcement: WILLIAM JAMES POTTER… | 08/07/2019

Enforcement: Partho S. Ghosh… | 08/07/2019

Agency Update: Updated: 529 Savings Plans=E2=80=94School Yourself Before You Invest… | 08/06/2019

Enforcement: Karen Paek… | 08/05/2019

Enforcement: Eldridge F. Parks (“Parks” or “Respondent”)… | 08/05/2019

 
 
 
FRS
 
 
 
 

Notice: Agency Information Collection Activities: Announcement of Board Approv… | 08/12/2019

Notice: Agency Information Collection Activities: Announcement of Board Approv… | 08/12/2019

Final Rule: Regulation A: Extensions of Credit by Federal Reserve Banks… | 08/12/2019

Notice: Proposed Agency Information Collection Activities; Comment Request… | 08/12/2019

Notice: Agency Information Collection Activities: Announcement of Board Approv… | 08/12/2019

Notice: Agency Information Collection Activities: Announcement of Board Approv… | 08/12/2019

Notice: Proposed Agency Information Collection Activities; Comment Request… | 08/12/2019

Final Rule: Regulation D: Reserve Requirements of Depository Institutions… | 08/12/2019

Notice: Proposed Agency Information Collection Activities; Comment Request… | 08/12/2019

Notice: Agency Information Collection Activities: Announcement of Board Approv… | 08/12/2019

 
 
 
FTC
 
 
 
 

News: Fighting Consumer Fraud and Identity Theft in Northern California… | 08/09/2019

News: TTF looking for technology fellow… | 08/08/2019

Notice: Request for Contractor Submission of Final Invoices for Expired Contra… | 08/08/2019

Notice: Agency Information Collection Activities; Proposed Collection; Comment… | 08/08/2019

Enforcement: Boston Scientific and BTG, In the Matter of… | 08/07/2019

Enforcement: In re Sanctuary Belize Litigation (Ecological Fox, LLC and AmeriDebt, … | 08/07/2019

News: Weekly Calendar for August 5, 2019… | 08/05/2019

 
 
 
Fannie
 
 
 
 

News: URLA February 1, 2020 Mandate Rescheduled… | 08/08/2019

News: Selling Guide Updates… | 08/07/2019

News: Announcement SEL-2019-07… | 08/07/2019

News: Key Selling Announcement SEL-2019-07 Updates… | 08/07/2019

News: Servicing Reports Moving to New Locations… | 08/07/2019

News: MH is now Eligible for C-to-P financing… | 08/06/2019

 
 
 
INT-BIS
 
 
 
 

Agency Update: (Un)conventional policy and the effective lower bound… | 08/09/2019

Agency Update: Exchange rate puzzles: evidence from rigidly fixed nominal exchange ra… | 08/09/2019

 
 
 
INT-EBA
 
 
 
 

News: The EBA updates data used for the identification of global systemicall… | 08/09/2019

News: EBA publishes the first of three opinions on the implementation of the… | 08/08/2019

News: EBA publishes feedback on a review of the use, usefulness and implemen… | 08/06/2019

News: EBA advises the European Commission on the implementation of the final… | 08/05/2019

 
 
 
NCUA
 
 
 
 

Notice: Agency Information Collection Activities: Proposed Collection; Comment… | 08/09/2019

Final Rule: Office Name Change… | 08/08/2019

Notice: Submission for OMB Review; Comment Request… | 08/05/2019

 
 
 
OCC
 
 
 
 

News: Comptroller of the Currency Tours Atlanta Areas Where the Community Re… | 08/09/2019

Bulletin: Description: Annual Host State Loan-to-Deposit Ratios… | 08/09/2019

News: OCC Releases CRA Evaluations for 42 National Banks and Federal Savings… | 08/08/2019

News: OCC Hosts Nashville Workshop for Board Directors and Bank Management… | 08/08/2019

News: OCC Hosts Compliance and Operational Risk Workshops in Virginia… | 08/07/2019

News: Counterfeit Cashier=E2=80=99s Checks of National Bank of Blacksburg, Blacksbur… | 08/05/2019

 
 
 
OFAC
 
 
 
 

Notice: Notice of OFAC Sanctions Action… | 08/09/2019

Financial Sanction: DNI Express Shipping Company and Southern Cross Aviation, LLC separate… | 08/08/2019

Final Rule: Iranian Financial Sanctions Regulations and Iranian Human Rights Abuse… | 08/07/2019

Financial Sanction: Publication of Amended Iranian Sanctions Regulations Regarding the Iro… | 08/06/2019

Notice: Notice of OFAC Sanctions Actions… | 08/06/2019

Financial Sanction: Executive Order Blocking Property of the Government of Venezuela; Issu… | 08/06/2019

Financial Sanction: Counter Terrorism Designation Update… | 08/06/2019

Financial Sanction: Settlement Agreement between the U.S. Department of the Treasury’s Off… | 08/06/2019

Notice: Notice of OFAC Sanctions Actions… | 08/05/2019

 
 
 
SEC
 
 
 
 
 
 

Notice: Sunshine Act Meetings… | 08/12/2019

Notice: Sunshine Act Meeting; Cancellation… | 08/12/2019

Notice: Program for Allocation of Regulatory Responsibilities Pursuant to Rule… | 08/12/2019

Enforcement: Corix Bioscience, Inc. and Michael L. Ogburn… | 08/09/2019

Final Rule: Regulation Best Interest: The Broker-Dealer Standard of Conduct… | 08/09/2019

Notice: Self-Regulatory Organizations; Municipal Securities Rulemaking Board; … | 08/09/2019

Notice: Self-Regulatory Organizations; Cboe EDGA Exchange, Inc.; Notice of Des… | 08/09/2019

Notice: Self-Regulatory Organizations; LCH SA; Notice of Filing of Proposed Ru… | 08/09/2019

Notice: Self-Regulatory Organizations; Financial Industry Regulatory Authority… | 08/08/2019

Notice: Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Desi… | 08/08/2019

 
 
 
TREAS
 
 
 
 

News: Public Engagements Schedule for the Week of August 12 =E2=80=93 August 18… | 08/09/2019

Notice: Agency Information Collection Activities; Proposed Collection; Comment… | 08/09/2019

Agency Update: U.S. Department of the Treasury… | 08/09/2019

Notice: Proposed Collections; Comment Requests… | 08/07/2019

Notice: Proposed Collections; Comment Requests… | 08/07/2019

Agency Update: U.S. Department of the Treasury… | 08/06/2019

News: Public Engagements Schedule for the Week of August 5 =E2=80=93 August 11… | 08/05/2019

Agency Update: U.S. Department of the Treasury… | 08/05/2019

 
 
 
UK-BOE
 
 
 
 
 
 

News: Second meeting of the PRA and FCA=E2=80=99s joint Climate Financial Risk Forum… | 08/12/2019

Agency Update: Machine learning explainability in finance: an application to default … | 08/09/2019

Working Paper: Machine learning explainability in finance: an application to default … | 08/09/2019

Working Paper: Machine learning explainability in finance: an application to default … | 08/09/2019

Working Paper: Machine learning explainability in finance: an application to default … | 08/09/2019

Agency Update: Bank of England Weekly Report 07 August 2019… | 08/08/2019

Weekly report: Bank of England Weekly Report 07 August 2019 — Weekly Report… | 08/08/2019

Weekly report: Bank of England Weekly Report 07 August 2019 — Changes to the Bank’s … | 08/08/2019

Weekly report: Bank of England Weekly Report 07 August 2019… | 08/08/2019

Weekly report: Bank of England Weekly Report 07 August 2019 — Sign up to receive ema… | 08/08/2019

 
 
 
UK-CMA
 
 
 
 

Press Release: Nationwide refunds =C2=A36m to customers following CMA action… | 08/08/2019

 
 
 
UK-FCA
 
 
 
 
 
 

News: Citi Finances… | 08/12/2019

Supervisory notices: First Supervisory Notice 2019: SVS Securities Plc… | 08/08/2019

Final notices: Final Notice 2019: Neil Williams-Denton… | 08/08/2019

News: Calibre Cars trading name of Autotech Kent Car Sales (Cranbrook) Ltd… | 08/08/2019

News: 5 million pension savers could put their retirement savings at risk to… | 08/07/2019

Memorandums of understanding: Memorandum of understanding between the Competition and Markets Author… | 08/07/2019

Correspondence: Letter to Lord Myners: Undertakings for Collective Investment in Trans… | 08/06/2019

News: Thomas and Ward Advisors LLC… | 08/06/2019

News: Smith & Williams PLC trading as Smith and Williams Online (clone of au… | 08/06/2019

News: Profit Trading Ltd (clone of UK registered company)… | 08/06/2019

 
 
 
UK-HMT
 
 
 
 

News Story: Chancellor fast-tracks Spending Round to free up departments to prepar… | 08/08/2019

Guidance: The government’s guarantee for EU-funded programmes if there’s no Brex… | 08/08/2019

Guidance: Country and regional analysis guidance 2019… | 08/08/2019

News Story: Government provides =C2=A31.1 billion cash boost to creative sectors… | 08/07/2019

News Story: NHS pensions for senior clinicians: new changes announced to improve c… | 08/06/2019

News Story: Financial Policy Committee – membership update… | 08/06/2019

National Statistics: UK official holdings of international reserves: July 2019… | 08/05/2019

 
 
 
UK-ICO
 
 
 
 

Follow up audit: Dartford and Gravesham NHS Trust – follow up… | 08/12/2019

News: ICO launches consultation on the draft framework code of practice for … | 08/09/2019

News: Protecting children online: update on progress of ICO code… | 08/07/2019

Follow up audit: Calderdale and Huddersfield NHS Foundation Trust… | 08/07/2019

Audit: BUPA Care Homes — Executive summary of the BUPA Care Homes audit repo… | 08/07/2019

Audit: BUPA Care Homes… | 08/07/2019

Audit: BUPA Health Centres — Executive summary of the BUPA Health Centres au… | 08/07/2019

Audit: BUPA Health Centres… | 08/07/2019

News: ICO joins international signatories in raising Libra data protection c… | 08/05/2019

News: Fully automated decision making AI systems (blogger post)… | 08/05/2019

 
 
 
UK-PRA
 
 
 
 

Policy statement: Regulatory reporting: EBA Taxonomy 2.9… | 08/07/2019

Policy statement: Regulatory reporting: EBA Taxonomy 2.9 – Appendix 1: PRA RULEBOOK: CRR… | 08/07/2019

 
 
 
VA
 
 
 
 

Notice: Agency Information Collection Activity: Application for Pre-Need Deter… | 08/12/2019

Notice: Agency Information Collection Activity: Application for VA Education B… | 08/12/2019

Notice: Agency Information Collection Activity: Dependent’s Request for Change… | 08/12/2019

Notice: Agency Information Collection Activity: Student Verification of Enroll… | 08/09/2019

Notice: Genomic Medicine Program Advisory Committee… | 08/08/2019

Final Rule: Committal Services, Memorial Services and Funeral Honors… | 08/07/2019

Notice: Health Services Research and Development Service, Scientific Merit Rev… | 08/06/2019

 

X