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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11634 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 Aug 17 - 24

 
 
CA-OPC
 
 
 
 

News: Announcement: New privacy guidance on the Internet of Things for manuf… | 08/20/2020

Guidance: Privacy guidance for manufacturers of Internet of Things devices… | 08/20/2020

 
 
 
CFPB
 
 
 
 
 
 
 
 

Comment: Advisory Opinion Proposal; Public Submission; National Association of … | 08/20/2020

Enforcement Document: TD Bank, N.A. Stipulation… | 08/20/2020

Enforcement Document: TD Bank, N.A. Consent order… | 08/20/2020

Enforcement Action: TD Bank, N.A…. | 08/20/2020

Blog: How to claim economic impact payments for new dependents… | 08/20/2020

Comment: Qualified Mortgage Definition under the Truth in Lending Act (Regulati… | 08/19/2020

Press release: CFPB Extends Comment Period on Request for Information on Ways to Prev… | 08/19/2020

Final Rule: Truth in Lending (Regulation Z) Annual Threshold Adjustments (Credit C… | 08/19/2020

Press release: Consumer Financial Protection Bureau Proposes New Category of Qualifie… | 08/18/2020

Speech: Director Kraninger’s Remarks During the Women in Housing and Finance A… | 08/18/2020

 
 
 
CFTC
 
 
 
 

Notice: Agency Information Collection Activities: Notice of Intent To Renew Co… | 08/19/2020

Enforcement: Spoofing Order: The Bank of Nova Scotia… | 08/19/2020

Enforcement: False Statements Order: The Bank of Nova Scotia… | 08/19/2020

News: CFTC Orders The Bank of Nova Scotia to Pay $127.4 Million for Spoofing… | 08/19/2020

News: CFTC Orders The Bank of Nova Scotia to Pay $50 Million for Swap Dealer… | 08/19/2020

Enforcement: Compliance Order:The Bank of Nova Scotia… | 08/19/2020

News: CFTC Orders The Bank of Nova Scotia to Pay Record $77.4 Million for Sp… | 08/19/2020

Notice: Agency Information Collection Activities: Notice of Intent To Extend C… | 08/18/2020

 
 
 
DOJ
 
 
 
 

Notice: Agency Information Collection Activities; Proposed Collection Comments… | 08/20/2020

Final Rule: Prohibition on the Issuance of Improper Guidance Documents Within the … | 08/19/2020

Agency Update: OVW=E2=80=99s Podcast Patchwork Looks at Human Trafficking… | 08/19/2020

Notice: Notice of Lodging of Proposed Consent Judgment Under the Clean Air Act… | 08/19/2020

 
 
 
DOL
 
 
 
 

Notice: Request for Comments for Dominican Republic-Central America-United Sta… | 08/20/2020

Notice: Agency Information Collection Activities; Submission for OMB Review; C… | 08/20/2020

Notice: Agency Information Collection Activities; Submission for OMB Review; C… | 08/18/2020

Notice: Agency Information Collection Activities; Submission for OMB Review; C… | 08/18/2020

 
 
 
EBSA
 
 
 
 

News: U.S. Department of Labor Proposes Registration Requirements For Pooled… | 08/20/2020

News: U.S. Department of Labor Rule Will Improve Workers=E2=80=99 Ability to Measure… | 08/18/2020

News: Federal Court Orders Nevada Leak Detection Company to Pay Retirement P… | 08/17/2020

 
 
 
EOP
 
 
 
 

Presidential Document: National Employer Support of the Guard and Reserve Week, 2020… | 08/19/2020

Presidential Document: Regarding the Acquisition of Musical.ly by ByteDance Ltd…. | 08/19/2020

 
 
 
FDIC
 
 
 
 

Final Rule: Incorporation of Existing Statement of Policy Regarding Requests for P… | 08/20/2020

Event: Money Smart Train-the-Trainer Session… | 08/17/2020

 
 
 
FINCEN
 
 
 
 

Agency Update: FIN-2020-A003 Spanish… | 08/18/2020

News: FinCEN Statement on Enforcement of the Bank Secrecy Act… | 08/18/2020

 
 
 
FINRA
 
 
 
 

AWCs (Letters of Acceptance, Waiver, and Consent): Stephen Paul Florio AWCs (Letters of Acceptance, Waiver, and Consent)… | 08/20/2020

Notices: Regulatory Notice 20-30 Fraudsters Using Registered Representatives Na… | 08/20/2020

AWCs (Letters of Acceptance, Waiver, and Consent): Earl Quon AWCs (Letters of Acceptance, Waiver, and Consent)… | 08/18/2020

Notices: Election Notice – 8/17/20 FINRA Announces Nomination Process to Fill U… | 08/17/2020

Notices: Regulatory Notice 20-29 FINRA Requests Comment on the Practice of Penn… | 08/17/2020

 
 
 
FRS
 
 
 
 

Press Release: Federal Reserve Board issues enforcement action with former employee o… | 08/20/2020

Notice: Change in Bank Control Notices; Acquisitions of Shares of a Bank or Ba… | 08/20/2020

Notice: Formations of, Acquisitions by, and Mergers of Bank Holding Companies… | 08/19/2020

Speech: Brief Remarks – Governor Michelle W. Bowman… | 08/19/2020

Press Release: Minutes of the Federal Open Market Committee, July 28-29, 2020… | 08/19/2020

Notice: Change in Bank Control Notices; Acquisitions of Shares of a Bank or Ba… | 08/18/2020

 
 
 
FTC
 
 
 
 
 
 

News: FTC Sends Refund Checks Totaling More Than $700,000 to Small Business … | 08/18/2020

Agency Update: International Monthly: August 2020… | 08/18/2020

Consumer Alert: Pointbreak Media Refunds… | 08/18/2020

Final Rule: Contact Lens Rule… | 08/17/2020

 
 
 
INT-FATF
 
 
 
 

Publication: Address by the FATF President to the GAFILAT Virtual Plenary Meeting… | 08/20/2020

 
 
 
INT-IOSCO
 
 
 
 

Media Release: IOSCO to launch 2020 World Investor Week to promote investor education… | 08/19/2020

 
 
 
NCUA
 
 
 
 

Proposed Rule: Transition to the Current Expected Credit Loss Methodology… | 08/19/2020

 
 
 
OCC
 
 
 
 
 
 

Comment: National Banks and Federal Savings Associations as Lenders; Public Sub… | 08/20/2020

Comment: National Banks and Federal Savings Associations as Lenders; Public Sub… | 08/20/2020

Comment: National Banks and Federal Savings Associations as Lenders; Public Sub… | 08/20/2020

Comment: Loans in Areas Having Special Flood Hazards; Interagency Questions and… | 08/20/2020

Comment: National Banks and Federal Savings Associations as Lenders; Public Sub… | 08/20/2020

Comment: Loans in Areas Having Special Flood Hazards; Interagency Questions and… | 08/20/2020

Comment: National Banks and Federal Savings Associations as Lenders; Public Sub… | 08/20/2020

Comment: National Banks and Federal Savings Associations as Lenders; Public Sub… | 08/20/2020

Comment: Loans in Areas Having Special Flood Hazards; Interagency Questions and… | 08/20/2020

News Release: NR 2020-107 OCC Enforcement Actions… | 08/20/2020

 
 
 
OFAC
 
 
 
 

Notice: Notice of OFAC Sanctions Actions… | 08/20/2020

Financial Sanction: Syria Designations; Syria-related Designations… | 08/20/2020

Financial Sanction: Counter Terrorism Designations; Iran-related Designation s… | 08/19/2020

Financial Sanction: Global Magnitsky Designations… | 08/17/2020

Press Release: Global Magnitsky Designations — Treasury Sanctions Four Ugandans for … | 08/17/2020

 
 
 
SEC
 
 
 
 
 
 

Notice: Self-Regulatory Organizations; MIAX PEARL, LLC; Order Approving a Prop… | 08/20/2020

Notice: Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and O… | 08/20/2020

Agency Update: Comments on Proposed Rule: Tailored Shareholder Reports, Treatment of … | 08/20/2020

Notice: Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing o… | 08/20/2020

Enforcement: Stephen Douglas Pizzuti… | 08/20/2020

Enforcement: NPB Financial Group, LLC… | 08/20/2020

Enforcement: Order Granting Summary Judgment – Ibrahim Almagarby, et al…. | 08/20/2020

Notice: Self-Regulatory Organizations; Fixed Income Clearing Corporation; Noti… | 08/20/2020

Notice: Self-Regulatory Organizations; National Securities Clearing Corporatio… | 08/20/2020

Enforcement: Ibrahim Almagarby, et al…. | 08/20/2020

 
 
 
TREAS
 
 
 
 

News: U.S. Department of the Treasury… | 08/20/2020

News: U.S. Department of the Treasury… | 08/19/2020

News: U.S. Department of the Treasury… | 08/19/2020

News: U.S. Department of the Treasury… | 08/19/2020

News: U.S. Department of the Treasury… | 08/19/2020

News: U.S. Department of the Treasury… | 08/17/2020

News: U.S. Department of the Treasury… | 08/17/2020

News: U.S. Department of the Treasury… | 08/17/2020

 
 
 
UK-BOE
 
 
 
 
 
 

News: Changes to the provision of US dollar repo operations from September 2… | 08/20/2020

News: US dollar liquidity-providing operations from 1 September 2020… | 08/20/2020

News Release: US dollar liquidity-providing operations from 1 September 2020… | 08/20/2020

Agency Update: Green Notice 2020/01… | 08/20/2020

Weekly report: Bank of England Weekly Report 19 August 2020… | 08/20/2020

Agency Update: Changes to the provision of US dollar repo operations from September 2… | 08/20/2020

Weekly report: Bank of England Weekly Report 19 August 2020 — View and download hist… | 08/20/2020

Weekly report: Bank of England Weekly Report 19 August 2020 — Further details about … | 08/20/2020

Weekly report: Bank of England Weekly Report 19 August 2020 — Changes to the Bank’s … | 08/20/2020

News: 7th Sovereign Bond Markets Conference… | 08/18/2020

 
 
 
UK-CMA
 
 
 
 

Press Release: Latest banking customer satisfaction results published… | 08/17/2020

 
 
 
UK-FCA
 
 
 
 
 
 

News: FX Trade Premium… | 08/20/2020

News: UK Fixed Rate Bonds… | 08/20/2020

News: investmentfacts.co.uk… | 08/20/2020

News: CCA Courtage (Clone of an EEA Authorised firm)… | 08/20/2020

Publication: PMB 30 technical note: Directors’ and management disclosures in share … | 08/19/2020

Publication: PMB 30 technical note: Master-feeder structures… | 08/19/2020

Publication: PMB 30 technical note: Review and approval of documents… | 08/19/2020

Publication: PMB 30 technical note: Current trading and trend information… | 08/19/2020

Publication: PMB 30 technical note: Choice of Home Member State under the Prospectu… | 08/19/2020

Publication: PMB 30 technical note: Class testing changes to an investment manageme… | 08/19/2020

 
 
 
UK-HMT
 
 
 
 
 
 

Speech: Speech to ICAEW Virtual Conference… | 08/20/2020

Official Statistics: Forecasts for the UK economy: August 2020… | 08/19/2020

Press Release: Teenagers to get access to Child Trust Funds for first time… | 08/19/2020

News Story: Britain eats out to help out – over 35 million meals claimed in first … | 08/18/2020

News Story: Millions of self employed to benefit from second stage of support sche… | 08/17/2020

News Story: Million of self employed to benefit from second stage of support schem… | 08/17/2020

 
 
 
UK-ICO
 
 
 
 

News: Children=E2=80=99s privacy and data sharing in focus as regulatory sandbox re-… | 08/19/2020

News: Children=E2=80=99s privacy and data sharing in focus as ICO regulatory sandbox… | 08/19/2020

 
 
 
VA
 
 
 
 

Notice: Agency Information Collection Activity: Maintenance of Records Under 3… | 08/20/2020

Proposed Rule: Servicemembers’ Group Life Insurance Traumatic Injury Protection Progr… | 08/19/2020

 

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