148 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

-

123 Final Rules go into effect in the next 30 days

-

45 Mortgage Lending docs published in the last 7 days

-

149 docs with 7429 extracted obligations from the last 7 days

-

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

-

6771 new docs in pro.compliance.ai within the last 7 days

-

Download the Q3 Enforcement eBook now!

-

Join us Feb 4th at Comply 2021

-

Agency Report Sep 1 - 7

 
 
CA-OPC
 
 
 
 

Agency Update: Design jam: =E2=80=9CIn the age of connected devices, what is meaningful conse… | 08/31/2020

Agency Update: Involving seniors in developing privacy best practices: Towards the de… | 08/31/2020

Agency Update: Citizen hacks design jam: A youth-run jam… | 08/31/2020

Agency Update: Young Canadians speak out: A qualitative research project on privacy a… | 08/31/2020

Agency Update: Design jam on a modernized consent model to unlock health innovation… | 08/31/2020

Agency Update: Parenting in the digital age: An awareness campaign for Canadian paren… | 08/31/2020

Agency Update: Protecting privacy in the postgenomic era: Ensuring responsible data g… | 08/31/2020

Agency Update: The price of trust? An analysis of emerging digital stewardship models… | 08/31/2020

Agency Update: Protecting user privacy in the connected world… | 08/31/2020

Agency Update: Understanding =E2=80=9Cthe biggest lie on the internet=E2=80=9D: Visualizing and trans… | 08/31/2020

 
 
 
CA-OSFI
 
 
 
 

Letter: OSFI updates to COVID-19 related regulatory flexibility for DTIs… | 08/31/2020

Letter: Le BSIF r=C3=A9vise les mesures d’assouplissement de ses attentes r=C3=A9glement… | 08/31/2020

 
 
 
CFPB
 
 
 
 
 
 

Comment: Qualified Mortgage Definition under the Truth in Lending Act (Regulati… | 09/04/2020

Comment: Qualified Mortgage Definition under the Truth in Lending Act (Regulati… | 09/04/2020

Comment: CARD Act Rules Review Pursuant to the Regulatory Flexibility Act; Requ… | 09/04/2020

Notice: CARD Act Rules Review Pursuant to the Regulatory Flexibility Act; Requ… | 09/04/2020

Report: Supervisory Highlights, Issue No. 22 (Summer 2020)… | 09/04/2020

Report: Plain Writing Act compliance report 2020… | 09/04/2020

Comment: Qualified Mortgage Definition under the Truth in Lending Act (Regulati… | 09/03/2020

Comment: Qualified Mortgage Definition under the Truth in Lending Act (Regulati… | 09/02/2020

Comment: Qualified Mortgage Definition under the Truth in Lending Act (Regulati… | 09/02/2020

Comment: Qualified Mortgage Definition under the Truth in Lending Act (Regulati… | 09/02/2020

 
 
 
CFTC
 
 
 
 
 
 

Notice: Sunshine Act Meetings… | 09/04/2020

Enforcement: Complaint & Notice: Goldman Global Investment Funds Ltd…. | 09/01/2020

Enforcement: Complaint & Notice: Merryl Morgan… | 09/01/2020

Enforcement: Complaint & Notice: Swiss FX Trade… | 09/01/2020

Enforcement: Complaint & Notice: Vertex Holdings Limited… | 09/01/2020

Enforcement: Complaint & Notice: ESOM, et al…. | 09/01/2020

Enforcement: Complaint & Notice: Fidelityfxtrade.com… | 09/01/2020

Enforcement: Complaint & Notice: United Financial Limited… | 09/01/2020

Enforcement: Complaint & Notice: iMarketsserviceFX.com… | 09/01/2020

Enforcement: Complaint & Notice: Zenithoptionstrade.net… | 09/01/2020

 
 
 
DOJ
 
 
 
 

Notice: Notice of Filing of Proposed Settlement Agreement Regarding Environmen… | 09/04/2020

Agency Update: Sexual Harassment Policies Now Required for All OVW Grantees… | 09/02/2020

Notice: Notice of Lodging of Proposed Consent Decree under the National Marine… | 09/01/2020

Notice: Notice of Lodging of Proposed Consent Decree Under the Comprehensive E… | 09/01/2020

Notice: National Survey of Youth in Custody, 2017-2018; Correction… | 09/01/2020

Agency Update: OVW Grant Funding Flows to Recipients who Articulate Plans to Meet Spe… | 09/01/2020

Notice: Notice of Lodging of Proposed Consent Decree Under the Clean Water Act… | 09/01/2020

Notice: Agency Information Collection Activities; Proposed Collection; Comment… | 09/01/2020

Agency Update: Democrat-Gazette Op-Ed: Back the Blue – Law enforcement protects liber… | 08/31/2020

Notice: Notice of Lodging of Proposed First Modification of The Consent Decree… | 08/31/2020

 
 
 
DOL
 
 
 
 

Notice: Agency Information Collection Activities; Submission for OMB Review; C… | 09/02/2020

 
 
 
EBSA
 
 
 
 

Proposed Rule: Fiduciary Duties Regarding Proxy Voting and Shareholder Rights… | 09/04/2020

Proposed Rule: Registration Requirements for Pooled Plan Providers… | 09/01/2020

News: U.S. Department of Labor Proposes Rule on Employee Benefit Plan Proxy … | 08/31/2020

 
 
 
EOP
 
 
 
 

Presidential Document: National Childhood Cancer Awareness Month, 2020… | 09/03/2020

Presidential Document: National Preparedness Month, 2020… | 09/03/2020

Presidential Document: National Sickle Cell Disease Awareness Month, 2020… | 09/03/2020

Presidential Document: National Alcohol and Drug Addiction Recovery Month, 2020… | 09/03/2020

Presidential Document: Extension of the Use of the National Guard To Respond to COVID-19 and … | 09/02/2020

Presidential Document: Adjusting Imports of Steel Into the United States… | 09/02/2020

Presidential Document: [No title available]… | 09/02/2020

Presidential Document: [No title available]… | 09/02/2020

 
 
 
FDIC
 
 
 
 
 
 

Notice: Agency Information Collection Activities: Proposed Collection Renewal;… | 09/04/2020

Press Release: FDIC Issues List of Banks Examined for CRA Compliance — September 202… | 09/04/2020

Notice: Notice to All Interested Parties of Intent To Terminate Receiverships… | 09/04/2020

Press Release: FDIC Issues List of Banks Examined for CRA Compliance… | 09/04/2020

Proposed Rule: Loans in Areas Having Special Flood Hazards; Interagency Questions and… | 09/03/2020

Press Release: Joint Release/Agencies Extend Comment Period on Proposed Revisions to … | 09/01/2020

Press Release: Joint Release/Federal and State Financial Regulatory Agencies Issue In… | 09/01/2020

Financial Institution Letter: FIL-86-2020 – FDIC Extends Comment Period Related to the Proposed Upda… | 09/01/2020

Financial Institution Letter: FIL-88-2020 – Regulatory Relief: Guidance to Help Financial Institutio… | 09/01/2020

Press Release: Joint Release/Agencies Extend Comment Period on Proposed Revisions to … | 09/01/2020

 
 
 
FFIEC
 
 
 
 

Notice: Appraisal Subcommittee Notice of Meeting… | 09/01/2020

 
 
 
FINCEN
 
 
 
 

News: Statement by FinCEN Regarding Unlawfully Disclosed Suspicious Activity… | 09/01/2020

 
 
 
FINRA
 
 
 
 
 
 

AWCs (Letters of Acceptance, Waiver, and Consent): State Street Global Markets, LLC AWCs (Letters of Acceptance, Waiver, … | 09/03/2020

Notice: Self-Regulatory Organizations; Financial Industry Regulatory Authority… | 09/03/2020

AWCs (Letters of Acceptance, Waiver, and Consent): Citadel Securities LLC AWCs (Letters of Acceptance, Waiver, and Consen… | 09/03/2020

AWCs (Letters of Acceptance, Waiver, and Consent): Christina Jane Shepard AWCs (Letters of Acceptance, Waiver, and Consen… | 09/03/2020

AWCs (Letters of Acceptance, Waiver, and Consent): Chih-Ming Huang AWCs (Letters of Acceptance, Waiver, and Consent)… | 09/03/2020

AWCs (Letters of Acceptance, Waiver, and Consent): Kimberley Schkade-Hill AWCs (Letters of Acceptance, Waiver, and Consen… | 09/03/2020

AWCs (Letters of Acceptance, Waiver, and Consent): Peter Vincent Ianace AWCs (Letters of Acceptance, Waiver, and Consent)… | 09/03/2020

News: FINRA Sanctions Wells Fargo Clearing Services, LLC and Wells Fargo Adv… | 09/02/2020

AWCs (Letters of Acceptance, Waiver, and Consent): Wells Fargo Clearing Services, LLC, Wells Fargo Advisors Financial Net… | 09/02/2020

Notices: Election Notice – 9/1/20 Call for Candidates for Upcoming Election to … | 09/01/2020

 
 
 
FRS
 
 
 
 
 
 

News: Diversity and Inclusion – Testimony by Sheila Clark, Program Director,… | 09/04/2020

Press Release: Federal Reserve Board releases corrected stress test results stemming … | 09/04/2020

Proposed Rule: Loans in Areas Having Special Flood Hazards; Interagency Questions and… | 09/03/2020

Notice: Formations of, Acquisitions by, and Mergers of Bank Holding Companies… | 09/03/2020

Press Release: Statement by Federal Reserve Board Chair Jerome H. Powell on the passi… | 09/02/2020

Notice: Proposed Agency Information Collection Activities; Comment Request… | 09/02/2020

Notice: Formations of, Acquisitions by, and Mergers of Bank Holding Companies… | 09/02/2020

Speech: Bringing the Statement on Longer-Run Goals and Monetary Policy Strateg… | 09/01/2020

Press Release: Federal Register Notice: Loans in Areas Having Special Flood Hazards; … | 09/01/2020

Press Release: Agencies extend comment period on proposed revisions to interagency qu… | 09/01/2020

 
 
 
FTC
 
 
 
 
 
 

News: Federal Trade Commission and U.S. Department of Justice Antitrust Divi… | 09/04/2020

News: FTC Approves Final Order Imposing Conditions on AbbVie Inc.=C3=A2=E2=82=AC=E2=84=A2s Acquis… | 09/04/2020

News: FTC Approves Final Order Imposing Conditions on AbbVie Inc.’s Acquisit… | 09/04/2020

News: FTC to Hold Virtual Workshop November 10 on Franchise Rule… | 09/04/2020

News: FTC to Hold Virtual Workshop November 10 on Franchise Rule… | 09/04/2020

News: Auto Dealer Group to Cease Business Operations As Part of FTC Settleme… | 09/04/2020

News: Cmr. Phillips participates in New Tech, Old Laws =E2=80=94 A Regulator’s Persp… | 09/02/2020

News: Children’s Online Learning Program ABCmouse to Pay $10 Million to Sett… | 09/02/2020

Enforcement Order: [Proposed] Stipulated Order for Permanent Injunction and Monetary Judg… | 09/02/2020

News: FTC Chairman Joseph J. Simons Signs Antitrust Cooperation Framework wi… | 09/02/2020

 
 
 
Fannie
 
 
 
 

Industry Guidance: Announcement SEL-2020-05 – Selling Guide Updates… | 09/02/2020

 
 
 
INT-EBA
 
 
 
 

News: EBA publishes its 2019 Annual Report on resolution colleges… | 09/01/2020

News: Fran=C3=A7ois-Louis Michaud starts today as new EBA Executive Director… | 09/01/2020

News: EBA issues Opinion regarding the European Commission=E2=80=99s intention to am… | 08/31/2020

 
 
 
INT-FSB
 
 
 
 

News: FSB extends implementation timelines for securities financing transact… | 09/07/2020

 
 
 
NCUA
 
 
 
 

Proposed Rule: Loans in Areas Having Special Flood Hazards; Interagency Questions and… | 09/03/2020

Notice: Request for Comment Regarding National Credit Union Administration Ove… | 08/31/2020

Proposed Rule: Fees Paid by Federal Credit Unions… | 08/31/2020

 
 
 
NYSE
 
 
 
 

Notice: Self-Regulatory Organizations; New York Stock Exchange LLC; Order Appr… | 09/01/2020

Notice: Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of … | 08/31/2020

 
 
 
OCC
 
 
 
 
 
 

Comment: National Banks and Federal Savings Associations as Lenders; Public Sub… | 09/04/2020

Comment: National Banks and Federal Savings Associations as Lenders; Public Sub… | 09/04/2020

Comment: National Banks and Federal Savings Associations as Lenders; Public Sub… | 09/04/2020

Comment: National Banks and Federal Savings Associations as Lenders; Public Sub… | 09/04/2020

Comment: National Banks and Federal Savings Associations as Lenders; Public Sub… | 09/04/2020

Comment: National Banks and Federal Savings Associations as Lenders; Public Sub… | 09/04/2020

Comment: National Banks and Federal Savings Associations as Lenders; Public Sub… | 09/04/2020

Comment: National Banks and Federal Savings Associations as Lenders; Public Sub… | 09/04/2020

Comment: National Banks and Federal Savings Associations as Lenders; Public Sub… | 09/04/2020

Comment: National Banks and Federal Savings Associations as Lenders; Public Sub… | 09/04/2020

 
 
 
OFAC
 
 
 
 

Final Rule: Inflation Adjustment of Civil Monetary Penalties Related to Reporting … | 09/03/2020

Notice: Notice of OFAC Sanctions Actions… | 09/03/2020

 
 
 
RHS
 
 
 
 

Notice: OneRD Annual Notice of Guarantee Fee Rates, Periodic Retention Fee Rat… | 09/01/2020

Notice: Notice of Request for Revision of a Currently Approved Information Col… | 08/31/2020

 
 
 
SEC
 
 
 
 
 
 

Notice: Self-Regulatory Organizations; National Securities Clearing Corporatio… | 09/04/2020

Notice: Self-Regulatory Organizations; Fixed Income Clearing Corporation; Noti… | 09/04/2020

Notice: Sunshine Act Meetings… | 09/04/2020

Enforcement: SQN Capital Management, LLC… | 09/04/2020

Notice: Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Order Institut… | 09/04/2020

Notice: BlackRock ETF Trust III, et al…. | 09/04/2020

Enforcement: Vereit, Inc…. | 09/04/2020

Enforcement: Vladislav Khalupsky… | 09/03/2020

Notice: Self-Regulatory Organizations; Financial Industry Regulatory Authority… | 09/03/2020

Notice: Investor Advisory Committee Meeting… | 09/03/2020

 
 
 
TREAS
 
 
 
 

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

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

Notice: Privacy Act of 1974; System of Records… | 09/04/2020

News: U.S. Department of the Treasury… | 09/03/2020

News: U.S. Department of the Treasury… | 09/02/2020

News: U.S. Department of the Treasury… | 09/01/2020

Notice: Agency Information Collection Activities; Submission for OMB Review; C… | 08/31/2020

News: U.S. Department of the Treasury… | 08/31/2020

Notice: Open Meeting of the Federal Advisory Committee on Insurance… | 08/31/2020

Notice: Agency Information Collection Activities; Submission for OMB Review; C… | 08/31/2020

 
 
 
UK-BOE
 
 
 
 
 
 

Agency Update: Sarah Breeden: The Investment Association Sustainability and Responsib… | 09/07/2020

News: Sarah Breeden: The Investment Association Sustainability and Responsib… | 09/04/2020

News: Community Forum – August 2020… | 09/04/2020

News: The economy and Covid-19: looking back and looking forward – speech by… | 09/04/2020

Agency Update: Community Forum – August 2020… | 09/04/2020

Minutes: Minutes of the Working Group on Sterling Risk-Free Reference Rates – J… | 09/04/2020

Minutes: Minutes of the Working Group on Sterling Risk-Free Reference Rates – J… | 09/04/2020

News: Reinventing the wheel (with more automation) – speech by Andrew Bailey… | 09/03/2020

Agency Update: Monthly Decision Maker Panel data – August 2020… | 09/03/2020

News: Government debt and inflation – speech by Ben Broadbent… | 09/02/2020

 
 
 
UK-FCA
 
 
 
 

News: Invest UK Bonds… | 09/07/2020

News: Goldver… | 09/07/2020

News: Donaldson Finley Corporate Partners… | 09/04/2020

News: UK London Bonds… | 09/04/2020

News: ApcoFX… | 09/04/2020

News: Search Bonds a trading style of Golden Water Ventures Ltd… | 09/04/2020

News: MCManagement… | 09/04/2020

News: UK ISA Comparison a Trading style of Easywealth Ltd… | 09/04/2020

News: FCA proposes ban on sale of crypto-derivatives to retail consumers… | 09/03/2020

News: Alta Advisers (Europe) (clone of authorised firms)… | 09/02/2020

 
 
 
UK-ICO
 
 
 
 

News: ICO=E2=80=99s Children=E2=80=99s Code will help protect children online… | 09/01/2020

News: Cod Plant yr ICO am helpu i amddiffyn plant ar-lein… | 09/01/2020

 
 
 
UK-PRA
 
 
 
 

Policy statement: Responses to CP3/20 ‘Occasional Consultation Paper’ – Policy Statement… | 09/04/2020

Policy statement: Responses to CP3/20 ‘Occasional Consultation Paper’ – Appendix 18: Sen… | 09/04/2020

Policy statement: Responses to CP3/20 ‘Occasional Consultation Paper’ – Appendix 4: PRA … | 09/04/2020

Policy statement: Responses to CP3/20 ‘Occasional Consultation Paper’ – Appendix 11: Nat… | 09/04/2020

Policy statement: Responses to CP3/20 ‘Occasional Consultation Paper’ – Appendix 21: Sen… | 09/04/2020

Policy statement: Responses to CP3/20 ‘Occasional Consultation Paper’ – Appendix 16: Sen… | 09/04/2020

Policy statement: Responses to CP3/20 ‘Occasional Consultation Paper’ – Appendix 17: Sen… | 09/04/2020

Policy statement: Responses to CP3/20 ‘Occasional Consultation Paper’ – Appendix 10: Nat… | 09/04/2020

Policy statement: Responses to CP3/20 ‘Occasional Consultation Paper’ – Appendix 13: Ins… | 09/04/2020

Policy statement: Responses to CP3/20 ‘Occasional Consultation Paper’ – Appendix 27: PRA… | 09/04/2020

 
 
 
VA
 
 
 
 

Notice: Prosthetics and Special-Disabilities Programs, Notice of Meeting… | 09/04/2020

Notice: Veterans’ Advisory Committee on Rehabilitation, Notice of Meeting… | 09/03/2020

Notice: Agency Information Collection Activity under OMB Review: Application f… | 09/03/2020

Notice: Voluntary Service National Advisory Committee, Notice of Meetings… | 09/01/2020

Notice: Solicitation of Nomination for Appointment to the Advisory Committee o… | 08/31/2020

 

X