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

-

FTC enforcements decreased 107% over the past 30 days

-

OFAC issued enforcements: $752,177.00 over the past 30 days

-

102 Final Rules go into effect in the next 30 days

-

76 Mortgage Lending docs published in the last 7 days

-

4929 docs with 12492 extracted obligations from the last 7 days

-

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

-

12943 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

-

 
 
CA-CANLII
 
 
 
 

Agency Update: Secure Air Travel Regulations, SOR/2015-181 [Modified on Sep 4, 2019]… | 12/04/2019

Agency Update: Critical Habitat of the Atlantic Salmon (Salmo salar) Inner Bay of Fun… | 12/04/2019

Agency Update: Canada Labour Standards Regulations, CRC, c 986 [Modified on Aug 31, 2… | 12/04/2019

Agency Update: Designated Classes of Projects Order, SOR/2019-323 [Modified on Nov 27… | 12/04/2019

Agency Update: Designated Provisions Regulations, SOR/2000-112 [Modified on Sep 4, 20… | 12/04/2019

Agency Update: Canada Education Savings Regulations, SOR/2005-151 [Modified on Jul 24… | 12/04/2019

Agency Update: Critical Habitat of the Snuffbox (Epioblasma triquetra) Order, SOR/201… | 12/02/2019

Agency Update: CIFTA Rules of Origin for Casual Goods Regulations, SOR/97-65 [Modifie… | 12/02/2019

Agency Update: Canadian Security Intelligence Service Act Deputy Heads of the Public … | 12/02/2019

Agency Update: Critical Habitat of the Northern Riffleshell (Epioblasma torulosa rang… | 12/02/2019

 
 
 
CA-OSFI
 
 
 
 

Agency Update: OSFI releases final guideline to deposit-taking institutions on liquid… | 12/05/2019

Agency Update: OSFI releases final guideline to deposit-taking institutions on liquid… | 12/05/2019

Agency Update: Le BSIF publie la version finale de sa ligne directrice sur la gestion… | 12/05/2019

Agency Update: Le BSIF publie la version finale de sa ligne directrice sur la gestion… | 12/05/2019

Agency Update: Le BSIF publie la version finale de sa ligne directrice sur la gestion… | 12/05/2019

Agency Update: OSFI releases final guideline to deposit-taking institutions on liquid… | 12/05/2019

Agency Update: Le BSIF publie la version finale de sa ligne directrice sur la gestion… | 12/05/2019

Agency Update: OSFI releases final guideline to deposit-taking institutions on liquid… | 12/05/2019

 
 
 
CFPB
 
 
 
 
 
 

Blog: Shopping for a prepaid card with new disclosures… | 12/06/2019

Blog: CFPB Ombudsman’s Office 2019 Annual Report… | 12/05/2019

Enforcement Document: Security National Automotive Acceptance Company, LLC. Stipulated Final… | 12/04/2019

Enforcement Document: Security National Automotive Acceptance Company, LLC. Complaint… | 12/04/2019

Enforcement Document: State Farm Bank, FSB Stipulation… | 12/04/2019

Press release: Consumer Financial Protection Bureau Issues Notice of Proposed Rulemak… | 12/03/2019

Press release: CFPB Announces Panels for CFPB-FTC Workshop on Accuracy in Consumer Re… | 12/03/2019

Press release: Federal Regulators Issue Joint Statement on the Use of Alternative Dat… | 12/03/2019

Notice: Agency Information Collection Activities: Submission for OMB Review; C… | 12/02/2019

Notice: Agency Information Collection Activities: Submission for OMB Review; C… | 12/02/2019

 
 
 
CFTC
 
 
 
 

News: CFTC Adds 21 More Unregistered Foreign Entities to List for Apparent I… | 12/05/2019

 
 
 
DOJ
 
 
 
 

Agency Update: Funds Available to Protect Women… | 12/05/2019

Notice: Agency Information Collection Activities; Proposed eCollection eCommen… | 12/02/2019

 
 
 
EOP
 
 
 
 

Presidential Document: Establishing the Task Force on Missing and Murdered American Indians a… | 12/02/2019

 
 
 
FDIC
 
 
 
 

Notice: Notice of Termination of Receiverships… | 12/09/2019

News: Statement of FDIC Chairman Jelena McWilliams on the Oversight of Finan… | 12/05/2019

News: Statement of FDIC Chairman Jelena McWilliams on Oversight of Prudentia… | 12/04/2019

News: Bank Secrecy Act: Interagency Statement on Providing Banking Services … | 12/03/2019

Notice: FDIC Advisory Committee of State Regulators; Notice of Establishment… | 12/02/2019

News: FDIC Releases its Formal and Informal Enforcement Actions Manual… | 12/02/2019

News: Regulatory Capital Rule: New Standardized Approach for Calculating the… | 12/02/2019

News: Webinar on Revisions to the Consolidated Reports of Condition and Inco… | 12/02/2019

 
 
 
FFIEC
 
 
 
 

Notice: Appraisal Subcommittee Notice of Meeting… | 12/02/2019

Notice: Appraisal Subcommittee; Notice of Termination of Residential Temporary… | 12/02/2019

 
 
 
FINCEN
 
 
 
 

News: Treasury News Release: Treasury Sanctions Evil Corp, the Russia-Based … | 12/05/2019

News: FinCEN Analysis: Bank Secrecy Act Reports Filed by Financial Instituti… | 12/04/2019

 
 
 
FRS
 
 
 
 

Notice: Formations of, Acquisitions by, and Mergers of Bank Holding Companies… | 12/09/2019

News: Supervision and Regulation Report – Vice Chair for Supervision Randal … | 12/04/2019

SR Letter: Statement on Providing Financial Services to Customers Engaged in Hemp… | 12/03/2019

News: Agencies clarify requirements for providing financial services to hemp… | 12/03/2019

News: Joint Guidance on Providing Financial Services to Customers Engaged in… | 12/03/2019

News: Attachment (PDF) – Federal Regulators issue joint statement on the use… | 12/03/2019

News: Federal Regulators issue joint statement on the use of alternative dat… | 12/03/2019

News: Federal Reserve Board announces termination of enforcement action with… | 12/03/2019

 
 
 
FTC
 
 
 
 

News: FTC Issues Opinion and Order Against Cambridge Analytica For Deceiving… | 12/06/2019

News: Cmr. Wilson guest speaker at George Mason University “FTC vs. Facebook… | 12/05/2019

News: Non-Competes in the Workplace: Examining Antitrust and Consumer Protec… | 12/05/2019

News: FTC to Hold Workshop on Non-Compete Clauses Used in Employment Contrac… | 12/05/2019

Enforcement: A.S. Research, LLC (Synovia)… | 12/05/2019

News: Court Halts Operations of VoIP Service Provider after the FTC and Ohio… | 12/05/2019

News: FTC Stops Marketers from Making False Arthritis Treatment Claims… | 12/05/2019

News: Cmr. Phillips speech at the Program on Economics and Privacy Public Po… | 12/03/2019

News: Cmr. Phillips speech at the Program on Economics and Privacy Public Po… | 12/03/2019

News: FTC Announces Panels for FTC-CFPB Workshop on Accuracy in Consumer Rep… | 12/03/2019

 
 
 
Fannie
 
 
 
 

News: Are co-issue sales a component of your best execution toolkit?… | 12/04/2019

News: Key Selling Announcement SEL-2019-09 Updates… | 12/04/2019

News: Selling Guide Updates… | 12/04/2019

 
 
 
INT-BIS
 
 
 
 

News: Easing trade tensions lift sentiment: BIS Quarterly Review… | 12/08/2019

Agency Update: Basel III monitoring data for external research: usage policy… | 12/05/2019

Agency Update: Spread the Word: International Spillovers from Central Bank Communicat… | 12/02/2019

 
 
 
INT-EC
 
 
 
 

News: The European Commission publishes results of an analysis of individual… | 12/03/2019

 
 
 
INT-FATF
 
 
 
 

Publications: Follow-Up Assessment Spain 2019 (pdf, )… | 12/04/2019

 
 
 
INT-FSB
 
 
 
 

Agency Update: Third-party dependencies in cloud services: Considerations on financia… | 12/09/2019

News: FSB reports consider financial stability implications of BigTech in fi… | 12/09/2019

Agency Update: BigTech in finance: Market developments and potential financial stabil… | 12/09/2019

Agency Update: BigTech in finance: Market developments and potential financial stabil… | 12/09/2019

Agency Update: Third-party dependencies in cloud services: Considerations on financia… | 12/09/2019

 
 
 
NCUA
 
 
 
 

Notice: Sunshine Act: Notice of Agency Meeting… | 12/09/2019

Final Rule: Exceptions to Employment Restrictions Under Section 205(d) of the Fede… | 12/02/2019

 
 
 
OCC
 
 
 
 

News Release: News Release 2019-144… | 12/05/2019

News Release: News Release 2019-143… | 12/04/2019

Bulletin: OCC Bulletin 2019-61… | 12/03/2019

News Release: News Release 2019-141… | 12/03/2019

News Release: News Release 2019-142… | 12/03/2019

Bulletin: OCC Bulletin 2019-63… | 12/03/2019

Bulletin: OCC Bulletin 2019-62… | 12/03/2019

 
 
 
OFAC
 
 
 
 

Financial Sanction: Global Magnitsky Designations… | 12/06/2019

Financial Sanction: Cyber-related Designations; Counter Terrorism Designation Removal… | 12/05/2019

Financial Sanction: Venezuela-related Identifications… | 12/03/2019

Notice: Notice of OFAC Sanctions Actions… | 12/02/2019

 
 
 
SEC
 
 
 
 
 
 

Notice: Lazard Asset Management LLC and Lazard ESC Funds LLC… | 12/09/2019

Notice: Sunshine Act Meetings… | 12/09/2019

Notice: Self-Regulatory Organizations: Investors Exchange LLC; Notice of Filin… | 12/09/2019

Notice: Self-Regulatory Organizations; LCH SA; Notice of Filing of Proposed Ru… | 12/09/2019

Notice: Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Fili… | 12/09/2019

Notice: Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of … | 12/09/2019

Notice: Self-Regulatory Organizations; NYSE Chicago, Inc.; Notice of Filing an… | 12/09/2019

Notice: Sunshine Act Meetings… | 12/09/2019

News: SEC Charges Multinational Telecommunications Company With FCPA Violati… | 12/06/2019

Enforcement: SEC Complaint as to Iconix, – Iconix Brand Group, Inc., Neil R. Cole a… | 12/05/2019

 
 
 
TREAS
 
 
 
 

News: U.S. Department of the Treasury… | 12/06/2019

News: U.S. Department of the Treasury… | 12/06/2019

News: U.S. Department of the Treasury… | 12/05/2019

News: U.S. Department of the Treasury… | 12/05/2019

News: U.S. Department of the Treasury… | 12/04/2019

News: U.S. Department of the Treasury… | 12/04/2019

News: U.S. Department of the Treasury… | 12/04/2019

News: U.S. Department of the Treasury… | 12/04/2019

News: U.S. Department of the Treasury… | 12/03/2019

News: U.S. Department of the Treasury… | 12/03/2019

 
 
 
UK-BOE
 
 
 
 
 
 

Agency Update: Bank of England Weekly Report 04 December 2019… | 12/05/2019

News: Building operational resilience: impact tolerances for important busin… | 12/05/2019

Agency Update: Bank of England Consultation papers: Operational Resilience of FMIs… | 12/05/2019

Agency Update: Monthly Decision Maker Panel data – November 2019… | 12/05/2019

News Release: Building operational resilience: impact tolerances for important busin… | 12/05/2019

Weekly report: Bank of England Weekly Report 04 December 2019 — Further details abou… | 12/05/2019

Weekly report: Bank of England Weekly Report 04 December 2019 — Changes to the Bank’… | 12/05/2019

Agency Update: Bank of England Consultation papers: Operational Resilience of FMIs… | 12/05/2019

Agency Update: Monthly Decision Maker Panel data – November 2019… | 12/05/2019

Weekly report: Bank of England Weekly Report 04 December 2019 — Weekly Report… | 12/05/2019

 
 
 
UK-FCA
 
 
 
 
 
 

News: Claim Yours Limited… | 12/09/2019

News: DJS (UK) Limited enters administration… | 12/09/2019

News: Affinity Group Investing (a trading style of MSgroup Limited)… | 12/06/2019

Consultation papers: CP19/33: Quarterly Consultation Paper No 26 — CP19/33: Quarterly Cons… | 12/06/2019

News: Paragon Bank (Clone of FCA authorised firm)… | 12/06/2019

News: MSIM Fund Management (clone of FCA authorised firm)… | 12/06/2019

Consultation papers: CP19/33: Quarterly Consultation Paper No 26… | 12/06/2019

News: CFreserve (a trading style of Imperial App Limited)… | 12/06/2019

News: Clarmond-WL (Clone of FCA authorised firm)… | 12/06/2019

Consultation papers: CP19/33: Quarterly Consultation No 26… | 12/06/2019

 
 
 
UK-HMT
 
 
 
 

National Statistics: UK official holdings of international reserves: November 2019… | 12/04/2019

 
 
 
UK-ICO
 
 
 
 

Audit: Isle of Wight NHS Trust… | 12/04/2019

Audit: Frimley Health NHS Foundation Trust… | 12/04/2019

Audit: Isle of Wight NHS Trust — Executive summary of the Isle of Wight NHS … | 12/04/2019

Audit: Frimley Health NHS Foundation Trust — Executive summary of the Frimle… | 12/04/2019

News: The Data Protection Fee: does your company need to pay?… | 12/03/2019

News: ICO and The Alan Turing Institute open consultation on first piece of … | 12/02/2019

Agency Update: Michelle Shipsey… | 12/02/2019

 
 
 
UK-PRA
 
 
 
 

Consultation paper: Outsourcing and third party risk management… | 12/05/2019

Consultation paper: Operational Resilience: Impact tolerances for important business servi… | 12/05/2019

Consultation paper: Operational Resilience: Impact tolerances for important business servi… | 12/05/2019

Consultation paper: Outsourcing and third party risk management – Consultation paper 30/19… | 12/05/2019

Consultation paper: Operational Resilience: Impact tolerances for important business servi… | 12/05/2019

PRA Regulatory Digest: PRA Regulatory Digest – November 2019… | 12/02/2019

 
 
 
VA
 
 
 
 

Notice: Agency Information Collection Activity Under OMB Review: Environmental… | 12/09/2019

Notice: Annual Pay Ranges for Physicians, Dentists, and Podiatrists of the Vet… | 12/09/2019

Notice: Agency Information Collection Activity Under OMB Review: Submission of… | 12/09/2019

News: This announcement provides information on the emergency system mainten… | 12/05/2019

 

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