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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11627 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 Dec 07 - 14

 
 
CA-OSFI
 
 
 
 

Agency Update: Le BSIF maintient le niveau de la r=C3=A9serve pour stabilit=C3=A9 int=C3=A9rieure =C3=A0 … | 12/08/2020

Agency Update: OSFI maintains the Domestic Stability Buffer level at 1.00%… | 12/08/2020

 
 
 
CFPB
 
 
 
 
 
 
 
 

Press release: Kraninger Marks Second Year as Director of the Consumer Financial Prot… | 12/11/2020

Blog: Fall 2020 Rulemaking Agenda… | 12/11/2020

Injunction Order: Alder Holdings, LLC Proposed stipulated judgment and order… | 12/11/2020

Press release: Consumer Financial Protection Bureau and Arkansas Attorney General Set… | 12/11/2020

Complaint: Alder Holdings, LLC Complaint… | 12/11/2020

Final rule: Qualified Mortgage Definition under the Truth in Lending Act (Regulati… | 12/10/2020

Final Rule: Truth in Lending (Regulation Z); Earned Wage Access Programs… | 12/10/2020

Final rule: Qualified Mortgage Definition under the Truth in Lending Act (Regulati… | 12/10/2020

Press release: Consumer Financial Protection Bureau Issues Two Final Rules to Promote… | 12/10/2020

Final Rule: Truth in Lending (Regulation Z)… | 12/10/2020

 
 
 
CFTC
 
 
 
 

Final Rule: Exemption From Registration for Certain Foreign Intermediaries… | 12/07/2020

 
 
 
DOJ
 
 
 
 

Agency Update: OPDAT Recognizes International Human Rights Day… | 12/10/2020

Agency Update: OPDAT Kosovo in coordination with OPDAT Croatia and Pristina Recognize… | 12/09/2020

Agency Update: OPDAT Recognizes International Anti-Corruption Day with Series of Glob… | 12/09/2020

Final Rule: Radiation Exposure Compensation Act: Procedures for Claims Submitted a… | 12/09/2020

Agency Update: OPDAT Burma Recognizes Annual International Anti-Corruption Day… | 12/09/2020

Notice: Agency Information Collection Activities; Proposed eCollection, eComme… | 12/08/2020

Notice: Agency Information Collection Activities; Proposed eCollection eCommen… | 12/08/2020

Notice: Notice of Lodging of Consent Decree Pursuant to the Comprehensive Envi… | 12/08/2020

Notice: Agency Information Collection Activities; Proposed eCollection, eComme… | 12/08/2020

Notice: Agency Information Collection Activities; Proposed eCollection eCommen… | 12/08/2020

 
 
 
DOL
 
 
 
 

Notice: Agency Information Collection Activities; Submission for OMB Review; C… | 12/11/2020

Notice: Agency Information Collection Activities; Submission for OMB Review; C… | 12/08/2020

Notice: Agency Information Collection Activities; Submission for OMB Review; C… | 12/07/2020

Notice: Notice of availability; request for comments…. | 12/07/2020

Notice: Agency Information Collection Activities; Submission for OMB Review; C… | 12/07/2020

 
 
 
EBSA
 
 
 
 

News: U.S. Departments of Labor, Health and Human Services, and the Treasury… | 12/11/2020

News: U.S. Department of Labor Issues Final Rule on Proxy Voting and Shareho… | 12/11/2020

 
 
 
EOP
 
 
 
 

Presidential Document: Ensuring Access to United States Government COVID-19 Vaccines… | 12/11/2020

Presidential Document: Governance and Integration of Federal Mission Resilience… | 12/10/2020

Presidential Document: Human Rights Day, Bill of Rights Day, and Human Rights Week, 2020… | 12/09/2020

Presidential Document: National Pearl Harbor Remembrance Day, 2020… | 12/09/2020

Presidential Document: Extension of Governors’ Use of the National Guard To Respond to COVID-… | 12/08/2020

Presidential Document: Extension of Governors’ Use of the National Guard To Respond to COVID-… | 12/08/2020

Presidential Document: Promoting the Use of Trustworthy Artificial Intelligence in the Federa… | 12/08/2020

 
 
 
FDIC
 
 
 
 
 
 

Speech: Remarks by FDIC Chairman Jelena McWilliams, ‘From Principles to Practi… | 12/11/2020

Notice: FDIC Advisory Committee on Economic Inclusion; Notice of Charter Renew… | 12/10/2020

Notice: Notice to All Interested Parties of Intent to Terminate Receiverships… | 12/10/2020

Financial Institution Letter: FIL-111-2020 – Revisions to the Consolidated Reports of Condition and … | 12/09/2020

Press Release: Joint Release/Agencies Announced Several Resolution Plan Actions — Fi… | 12/09/2020

Press Release: Joint Release/Agencies Announced Several Resolution Plan Actions… | 12/09/2020

Proposed Rule: Assessments, Amendments To Address the Temporary Deposit Insurance Ass… | 12/07/2020

 
 
 
FINCEN
 
 
 
 

Notice: Agency Information Collection Activities; Proposed Renewal; Comment Re… | 12/11/2020

News: Director Blanco Emphasizes Importance of Information Sharing Among Fin… | 12/10/2020

News: FinCEN Director Emphasizes Importance of Information Sharing Among Fin… | 12/10/2020

News: Prepared Remarks of FinCEN Director Kenneth A. Blanco, delivered virtu… | 12/10/2020

Notice: Agency Information Collection Activities; Proposed Renewal; Comment Re… | 12/07/2020

 
 
 
FINRA
 
 
 
 

AWCs (Letters of Acceptance, Waiver, and Consent): R.F. Lafferty & Co., Inc. AWCs (Letters of Acceptance, Waiver, and Con… | 12/11/2020

AWCs (Letters of Acceptance, Waiver, and Consent): Lincoln Investment AWCs (Letters of Acceptance, Waiver, and Consent)… | 12/10/2020

AWCs (Letters of Acceptance, Waiver, and Consent): Curtis R. Shinn AWCs (Letters of Acceptance, Waiver, and Consent)… | 12/10/2020

AWCs (Letters of Acceptance, Waiver, and Consent): Timothy James Pandekakes AWCs (Letters of Acceptance, Waiver, and Cons… | 12/09/2020

AWCs (Letters of Acceptance, Waiver, and Consent): Nicholas G. Baecker AWCs (Letters of Acceptance, Waiver, and Consent)… | 12/09/2020

AWCs (Letters of Acceptance, Waiver, and Consent): Infinity Financial Services AWCs (Letters of Acceptance, Waiver, and C… | 12/08/2020

AWCs (Letters of Acceptance, Waiver, and Consent): Mizuho Securities USA LLC AWCs (Letters of Acceptance, Waiver, and Con… | 12/07/2020

AWCs (Letters of Acceptance, Waiver, and Consent): Michael Edward Magill AWCs (Letters of Acceptance, Waiver, and Consent… | 12/07/2020

 
 
 
FRS
 
 
 
 
 
 

Press Release: Attachment (PDF) – Federal Reserve releases illustrative examples of n… | 12/11/2020

Notice: Proposed Agency Information Collection Activities; Comment Request… | 12/11/2020

Speech: The Eye of Providence: Thoughts on the Evolution of Bank Supervision -… | 12/11/2020

Final Rule: Reserve Requirements of Depository Institutions… | 12/11/2020

Notice: Formations of, Acquisitions by, and Mergers of Savings and Loan Holdin… | 12/11/2020

Notice: Agency Information Collection Activities: Announcement of Board Approv… | 12/11/2020

Notice: Agency Information Collection Activities: Announcement of Board Approv… | 12/11/2020

SR Letter: SR 20-29 Treatment of Certain Legacy Swaps Affected by Brexit and the … | 12/11/2020

Press Release: Federal Reserve releases illustrative examples of new charts that will… | 12/11/2020

Final Rule: Federal Reserve Bank Capital Stock… | 12/10/2020

 
 
 
FTC
 
 
 
 
 
 

News: Payment Processor and its Former CEO Pay $1.5 Million to Settle FTC Ch… | 12/10/2020

Enforcement Order: [Proposed] Stipulated Order for Permanent Injunction and Monetary Judg… | 12/10/2020

Event: Cmr. Phillips panelist on Redressing Privacy Violations Panel Discussi… | 12/10/2020

News: Cmr. Phillips panelist on Redressing Privacy Violations Panel Discussi… | 12/10/2020

Complaint: Complaint for Permanent Injunction and Other Equitable Relief (606.09 … | 12/10/2020

Speech: Written Statement of Commissioner Noah Joshua Phillips Before the U.S…. | 12/09/2020

Complaint: Complaint for Injunctive and Other Equitable Relief (Public Redacted V… | 12/09/2020

News: Closed Commission Meeting… | 12/09/2020

News: FTC Sues Facebook for Illegal Monopolization… | 12/09/2020

News: Closed Commission Meeting… | 12/08/2020

 
 
 
Freddie
 
 
 
 

News: Find Out What’s New and What’s Coming Soon in Loan Selling Advisor=C2=AE… | 12/10/2020

News: Get Requirements for Electronic Loss Mitigation Document in One Resour… | 12/10/2020

Bulletin: Bulletin 2020-47 Extension of Temporary Flexibilities Related to COVID… | 12/10/2020

News: Guide Bulletin 2020-46: COVID-19 Updates and Revised Servicing Require… | 12/09/2020

Bulletin: Bulletin 2020-46 Servicing… | 12/09/2020

News: UCount Is Here: Bringing Greater Transparency to Annual Certification … | 12/07/2020

 
 
 
INT-BIS
 
 
 
 

Agency Update: Basel III Monitoring Report… | 12/10/2020

Guidelines: Supplemental note to External audits of banks – audit of expected cred… | 12/07/2020

 
 
 
INT-EBA
 
 
 
 

News: EBA confirms banks=E2=80=99 solid capital and liquidity positions but warns ab… | 12/11/2020

Press Release: EBA confirms banks solid capital and liquidity positions but warns abo… | 12/11/2020

News: EBA issues revised list of ITS validation rules… | 12/10/2020

Press Release: EBA issues revised list of ITS validation rules… | 12/10/2020

Press Release: EBA updates impact of the Basel III reforms on EU banks capital… | 12/10/2020

News: EBA updates impact of the Basel III reforms on EU banks=E2=80=99 capital… | 12/09/2020

Press Release: EBA informs customers of UK financial institutions about the end of th… | 12/08/2020

News: EBA informs customers of UK financial institutions about the end of th… | 12/07/2020

News: ESAs highlight the change in the status of Simple, Transparent and Sta… | 12/07/2020

Press Release: ESAs highlight the change in the status of Simple, Transparent and Sta… | 12/07/2020

 
 
 
INT-EC
 
 
 
 

Public Consultations: Review of regulation on improving securities settlement in the Europea… | 12/08/2020

News: The Commission launches a targeted consultation on the review of regul… | 12/08/2020

Public Consultations: Review of regulation on improving securities settlement in the Europea… | 12/08/2020

Public Consultations: Review of regulation on improving securities settlement in the Europea… | 12/08/2020

Public Consultations: Review of regulation on improving securities settlement in the Europea… | 12/08/2020

News: The Commission launches a targeted consultation on the review of regul… | 12/08/2020

 
 
 
INT-FATF
 
 
 
 

Publication: Opening remarks at Trade-Based Money Laundering Press Conference… | 12/09/2020

Publication: FATF/Egmont Trade-based Money Laundering: Trends and Developments… | 12/09/2020

 
 
 
INT-FSB
 
 
 
 

Agency Update: FSB Continuity of access to FMIs for firms in resolution: Informal sum… | 12/09/2020

Agency Update: FSB Continuity of access to FMIs for firms in resolution: Informal sum… | 12/09/2020

News: FSB Americas group discusses financial market developments and enhanci… | 12/08/2020

News: Virtual workshop on the FSB holistic review of the March market turmoi… | 12/08/2020

News: Virtual workshop on the implications of climate change for financial s… | 12/07/2020

 
 
 
NCUA
 
 
 
 

Notice: Agency Information Collection Activities: Proposed Collection; Comment… | 12/07/2020

 
 
 
OCC
 
 
 
 
 
 

Bulletin: OCC 2020-108 Swap Margin Rule : Joint Statement Regarding Treatment of… | 12/11/2020

Final Rule: Licensing Amendments… | 12/11/2020

Final Rule: Appraisals for Higher-Priced Mortgage Loans Exemption Threshold… | 12/10/2020

Notice: Agency Information Collection Activities: Information Collection Renew… | 12/08/2020

News Release: NR 2020-168 OCC Announces New Executive Committee Members… | 12/07/2020

 
 
 
OFAC
 
 
 
 

Press Release: Global Magnitsky Designations; Yemen-related Designation; Magnitsky Ac… | 12/10/2020

Financial Sanction: Global Magnitsky Designations; Yemen-related Designation; Magnitsky Ac… | 12/10/2020

Financial Sanction: Global Magnitsky Designations… | 12/09/2020

Press Release: Global Magnitsky Designations — Treasury Sanctions Corrupt Actors in … | 12/09/2020

Financial Sanction: Iran-related Designations; Counter Terrorism Designations; North Korea… | 12/08/2020

Notice: Notice of OFAC Sanctions Action… | 12/08/2020

Financial Sanction: Hong Kong-related Designations… | 12/07/2020

Financial Sanction: Publication of New and Updated Iran-related Frequently Asked Questions… | 12/07/2020

Notice: Notice of OFAC Sanctions Actions… | 12/07/2020

Notice: Notice of OFAC Sanctions Actions… | 12/07/2020

 
 
 
SEC
 
 
 
 
 
 
 
 
 
 

Notice: Self-Regulatory Organizations; NYSE American LLC; Notice of Filing of … | 12/11/2020

Notice: RMR Mortgage Trust… | 12/11/2020

Notice: Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of … | 12/11/2020

Notice: Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing a… | 12/11/2020

Press Release: SEC Charges Sequential Brands Group Inc. with Deceiving Investors by F… | 12/11/2020

Proposed Rule: Modernization of Rules and Forms for Compensatory Securities Offerings… | 12/11/2020

Notice: Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and I… | 12/11/2020

Notice: Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Designation … | 12/11/2020

Proposed Rule: Temporary Rules to Include Certain =E2=80=9CPlatform Workers=E2=80=9D in Compensatory … | 12/11/2020

Final Rule: Qualifications of Accountants… | 12/11/2020

 
 
 
TREAS
 
 
 
 
 
 

Press Release: Treasury Sanctions Serious Human Rights Abusers on International Human… | 12/10/2020

Statements: Statement of Secretary Steven T. Mnuchin Department of the Treasury Be… | 12/10/2020

Notice: Survey of U.S. Ownership of Foreign Securities as of December 31, 2020… | 12/10/2020

Press Release: Treasury Sanctions Corrupt Actors in Africa and Asia… | 12/09/2020

Press Release: Treasury Sanctions Iran=C3=A2=E2=82=AC=E2=84=A2s Envoy in Yemen and University Facilitating… | 12/08/2020

Press Release: Treasury Sanctions Shipping Companies Transporting North Korean Coal… | 12/08/2020

Readout: Readout from a Treasury Spokesperson on Secretary Mnuchin’s Discussion… | 12/07/2020

 
 
 
UK-BOE
 
 
 
 
 
 
 
 

Agency Update: Inferring trade directions in fast markets… | 12/11/2020

Agency Update: Contagion accounting… | 12/11/2020

Agency Update: Bank of England/Kantar Inflation Attitudes Survey – November 2020… | 12/11/2020

Agency Update: Financial Stability Report – December 2020… | 12/11/2020

News: Financial Policy Summary and Record – December 2020… | 12/11/2020

Financial Stability: Financial Stability Report – December 2020 — Opening remarks from And… | 12/11/2020

Agency Update: Financial Policy Summary and Record – December 2020 — Financial Polic… | 12/11/2020

Inflation: Bank of England/Kantar Inflation Attitudes Survey – November 2020 — M… | 12/11/2020

Financial Stability: Financial Stability Report – December 2020 — UK-EU checklist=C3=82… | 12/11/2020

Agency Update: Financial Policy Summary and Record – December 2020… | 12/11/2020

 
 
 
UK-CMA
 
 
 
 

Transparency: CMA board meeting minutes: November 2020… | 12/11/2020

Press Release: Virgin and O2 merger referred for in-depth investigation… | 12/11/2020

CMA Case: Liberty Global plc / Telef=C3=B3nica S.A. merger inquiry… | 12/11/2020

CMA Case: Bellis Acquisition Company 3 Limited / Asda Group Limited merger inqui… | 12/11/2020

CMA Case: Hunter Douglas N.V. / 247 Home Furnishings Ltd merger inquiry… | 12/10/2020

Press Release: CMA advises government on new regulatory regime for tech giants… | 12/08/2020

CMA Case: Evolution / NetEnt merger inquiry… | 12/08/2020

CMA Case: Digital Markets Taskforce… | 12/08/2020

Press Release: CMA and global partners secure privacy changes to the App Store… | 12/08/2020

CMA Case: Circle Health / BMI Healthcare merger inquiry… | 12/07/2020

 
 
 
UK-FCA
 
 
 
 

News: Polaris Trade Pay… | 12/11/2020

News: National Refund Department / National UK Refund Department… | 12/11/2020

News: National Refund Department / National UK Refund Department… | 12/11/2020

News: FCA issues warning over festive season loan fee fraud… | 12/11/2020

News: FCA launch consultation to assist parties in proving presence of coron… | 12/11/2020

News: Marketing Arch… | 12/11/2020

News: UK Bond Investors… | 12/11/2020

News: Beaubien UK Finance (clone of FCA authorised firm and UK registered co… | 12/11/2020

News: propertyinvestmentshop.com / New Creation SEO Limited… | 12/11/2020

News: New executive appointments at Financial Conduct Authority… | 12/11/2020

 
 
 
UK-HMT
 
 
 
 
 
 

Policy Paper: UK-Brazil 4th Economic and Financial Dialogue: Joint Statement… | 12/11/2020

News Story: UK and Brazil to boost economic relationship… | 12/11/2020

Html Publication: Joint Statement by the Economy Minister of Brazil and the Chancellor o… | 12/11/2020

Policy Paper: Response to the remit and recommendations for the Financial Policy Com… | 12/11/2020

Press Release: UK Government provides =C2=A331m for flooding and coal tip repairs… | 12/11/2020

Policy Paper: VAT and the Sharing Economy: Call for Evidence… | 12/09/2020

Guidance: Financial sanctions, Iraq… | 12/09/2020

Html Publication: Notes on Taxation (Post-transition Period) Bill resolutions… | 12/08/2020

Guidance: Taxation (Post-transition Period) Bill… | 12/08/2020

News Story: Taxation (Post-Transition Period) Bill introduced today… | 12/08/2020

 
 
 
UK-ICO
 
 
 
 
 
 

News: ICO and Global Cyber Alliance sign Memorandum of Understanding… | 12/11/2020

News: ICO warns public to be vigilant against pensions cold callers… | 12/09/2020

News: ICO launches tool to help police forces using data analytics… | 12/09/2020

Monetary penalties: Pension House Exchange Limited — Pension House Exchange Limited monet… | 12/09/2020

Agency Update: Pension House Exchange Limited… | 12/09/2020

News: Competition and Markets Authority advises government on new regulatory… | 12/08/2020

Decision Notice: Bolton Council… | 12/07/2020

Decision Notice: BBC… | 12/07/2020

 
 
 
UK-LSB
 
 
 
 

News: Review of Effective Warnings provision of the CRM Code published by th… | 12/10/2020

News: Review of Effective Warnings provision of the CRM Code published by th… | 12/10/2020

News: Review of Effective Warnings provision of the CRM Code published by th… | 12/10/2020

News: Review of Effective Warnings provision of the CRM Code published by th… | 12/10/2020

 
 
 
UK-PRA
 
 
 
 
 
 

Statement: PRA statement on capital distributions by large UK banks… | 12/10/2020

Prudential Regulation: Additional Leverage Ratio Buffer Model Requirements – Additional Lever… | 12/09/2020

Prudential Regulation: Additional Leverage Ratio Buffer Model Requirements – Additional Lever… | 12/09/2020

Consultation paper: Designation of firms within certain consolidation groups… | 12/09/2020

Policy statement: Capital Requirements Directive V (CRD V): Further implementation – App… | 12/09/2020

Policy statement: Capital Requirements Directive V (CRD V): Further implementation – App… | 12/09/2020

Policy statement: Capital Requirements Directive V (CRD V): Further implementation… | 12/09/2020

Policy statement: Capital Requirements Directive V (CRD V): Further implementation – Sta… | 12/09/2020

Policy statement: Capital Requirements Directive V (CRD V): Further implementation – Pos… | 12/09/2020

Policy statement: Capital Requirements Directive V (CRD V): Further implementation – CRE… | 12/09/2020

 
 
 
VA
 
 
 
 

Notice: Agency Information Collection Activity: Lender’s Staff Appraisal Revie… | 12/11/2020

Notice: Solicitation of Nominations for Appointment to the Advisory Committee … | 12/11/2020

Notice: Agency Information Collection Activity: Servicer’s Staff Appraisal Rev… | 12/11/2020

Notice: Cost of Living Adjustments for Service-Connected Benefits… | 12/10/2020

Proposed Rule: Loan Guaranty: COVID-19 Veterans Assistance Partial Claim Payment Prog… | 12/09/2020

Notice: Agency Information Collection Activity Under OMB Review: Department of… | 12/08/2020

Notice: Agency Information Collection Activity under OMB Review: Veteran/Servi… | 12/07/2020

 

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