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

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FINRA enforcements decreased 15% over the past 30 days

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SEC issued enforcements: $69,991,450.57 over the past 30 days

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78 Final Rules go into effect in the next 30 days

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36 Mortgage Lending docs published in the last 7 days

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173 docs with 2254 extracted obligations from the last 7 days

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

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2302 new docs in pro.compliance.ai within the last 7 days

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Introducing new content from WesPay

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Regulatory-Agency-Updates-Week-of-Dec-16-Dec-23

 
 
CA-CANLII
 
 
 
 

Agency Update: Order Designating the Minister of Canadian Heritage to be the Minister… | 12/19/2019

Agency Update: Order Designating the Minister of Public Works and Government Services… | 12/19/2019

Agency Update: Order Designating the President of the Queen’s Privy Council for Canad… | 12/19/2019

Agency Update: International and Interprovincial Power Line Damage Prevention Regulat… | 12/19/2019

Agency Update: Transfer of Duties Order, SI/2019-123 [Modified on Dec 18, 2019]… | 12/19/2019

Agency Update: Circumstances for Excluding Periods from Time Limits Regulations, SOR/… | 12/19/2019

Agency Update: Order Designating the Minister for International Trade (1) as the Desi… | 12/19/2019

Agency Update: Order Designating the Department of (1) Canadian Heritage; (2) Industr… | 12/19/2019

Agency Update: Order Designating the Minister of Employment and Social Development, a… | 12/19/2019

Agency Update: Order Designating the Minister of Health as the Minister for the purpo… | 12/19/2019

 
 
 
CA-OPC
 
 
 
 

News: Announcement: OPC posts new summaries of cases involving businesses… | 12/19/2019

 
 
 
CFPB
 
 
 
 

News: State of Bureau Websites and Digital Services… | 12/20/2019

Report: Annual Report on the TILA, EFTA, and CARD Act… | 12/18/2019

 
 
 
DOJ
 
 
 
 

Agency Update: Keep Your Eyes Open to Give Families Hope… | 12/19/2019

Agency Update: Upcoming Best Practices Workshop on Technology in FOIA… | 12/17/2019

 
 
 
FDIC
 
 
 
 

News: Risk Management Manual of Examination Policies Updated to Include Exam… | 12/20/2019

 
 
 
FINCEN
 
 
 
 

Agency Update: December 17 – FinCEN Notice to E-Filers Regarding Upcoming Legacy Form… | 12/17/2019

 
 
 
FINRA
 
 
 
 
 
 

AWCs (Letters of Acceptance, Waiver, and Consent): AWCs (Letters of Acceptance, Waiver, and Consent)… | 12/19/2019

AWCs (Letters of Acceptance, Waiver, and Consent): Jonathan Gerald Schnell AWCs (Letters of Acceptance, Waiver, and Conse… | 12/18/2019

AWCs (Letters of Acceptance, Waiver, and Consent): Cecil Allen Ross AWCs (Letters of Acceptance, Waiver, and Consent)… | 12/18/2019

AWCs (Letters of Acceptance, Waiver, and Consent): AWCs (Letters of Acceptance, Waiver, and Consent)… | 12/17/2019

AWCs (Letters of Acceptance, Waiver, and Consent): AWCs (Letters of Acceptance, Waiver, and Consent)… | 12/17/2019

AWCs (Letters of Acceptance, Waiver, and Consent): Kawa Saeed Foad AWCs (Letters of Acceptance, Waiver, and Consent)… | 12/17/2019

AWCs (Letters of Acceptance, Waiver, and Consent): Ezri Shechter AWCs (Letters of Acceptance, Waiver, and Consent)… | 12/17/2019

AWCs (Letters of Acceptance, Waiver, and Consent): Francisco Javier Valenzuela AWCs (Letters of Acceptance, Waiver, and C… | 12/17/2019

Orders Accepting Offers of Settlement: Samuel Frederik Lek Orders Accepting Offers of Settlement… | 12/17/2019

OHO Decisions: Jorge A. Reyes OHO Decisions… | 12/17/2019

 
 
 
FRS
 
 
 
 

Enforcement: Written Agreement – Soci=C3=A9t=C3=A9 G=C3=A9n=C3=A9rale S.A. and Soci=C3=A9t=C3=A9 G=C3=A9n=C3=A9rale, New Yo… | 12/17/2019

 
 
 
FTC
 
 
 
 

Enforcement: Post Holdings, Inc.; In the Matter of… | 12/20/2019

Enforcement: Fleetcor Technologies… | 12/20/2019

Enforcement: Illumina Inc./Pacific Biosciences of California, Inc., In the Matter o… | 12/19/2019

Enforcement: Reembolsos de A1 Janitorial… | 12/19/2019

Agency Update: Federal Trade Commission’s Statement of Public Interest… | 12/19/2019

Enforcement: Health Research Laboratories, LLC… | 12/18/2019

News: Closed Commission Meeting… | 12/18/2019

Enforcement: A1 Janitorial Refunds… | 12/18/2019

News: FTC Chairman Simons Announces Senior Appointments in Bureau of Competi… | 12/18/2019

News: FTC, State of Maine File Contempt Action against Dietary Supplement Ma… | 12/18/2019

 
 
 
INT-BIS
 
 
 
 

Agency Update: The cost of steering in financial markets: evidence from the mortgage … | 12/19/2019

Agency Update: How do machine learning and non-traditional data affect credit scoring… | 12/19/2019

Agency Update: Central counterparty exposure in stressed markets… | 12/18/2019

Agency Update: Hedger of Last Resort: Evidence from Brazilian FX Interventions, Local… | 12/18/2019

Agency Update: Believing in bail-in? Market discipline and the pricing of bail-in bon… | 12/17/2019

Agency Update: De jure benchmark bonds… | 12/17/2019

Agency Update: Central banking in challenging times… | 12/17/2019

News: Launch of the consolidated Basel Framework… | 12/16/2019

 
 
 
INT-FSB
 
 
 
 

Agency Update: Vulnerabilities associated with leveraged loans and collateralised loa… | 12/19/2019

News: FSB report assesses vulnerabilities of leveraged loans and CLOs… | 12/19/2019

Agency Update: Vulnerabilities associated with leveraged loans and collateralised loa… | 12/19/2019

Agency Update: Reforming major interest rate benchmarks: Progress report — PDF… | 12/18/2019

News: FSB report sets out need to reduce risks to financial stability from L… | 12/18/2019

Agency Update: Reforming major interest rate benchmarks: Progress report… | 12/18/2019

News: FSB sets out 2020 work programme… | 12/17/2019

Agency Update: FSB work programme for 2020… | 12/17/2019

Agency Update: FSB work programme for 2020 — PDF… | 12/17/2019

 
 
 
INT-IOSCO
 
 
 
 

Consultation Report: CR05/2019 Conflicts of interest and associated conduct risks during th… | 12/16/2019

 
 
 
OCC
 
 
 
 

News Release: News Release 2019-152… | 12/20/2019

News Release: News Release 2019-151… | 12/19/2019

News Release: News Release 2019-150… | 12/19/2019

News Release: News Release 2019-149… | 12/18/2019

News Release: News Release 2019-148… | 12/16/2019

 
 
 
OFAC
 
 
 
 

Financial Sanction: Global Magnitsky Designation Removal; Issuance of Amended Global Magni… | 12/18/2019

Financial Sanction: First Quarter FY2019 Report for Licensing Activities Undertaken Pursua… | 12/17/2019

Financial Sanction: South Sudan-related Designations… | 12/16/2019

 
 
 
SEC
 
 
 
 

Enforcement: SEC Complaint Against Songjiang Wang; – Songjiang Wang… | 12/20/2019

Enforcement: SEC Complaint Against Schultz Chan – Songjiang Wang… | 12/20/2019

Enforcement: SEC Complaint – Keith Springer and Springer Investment Management, Inc… | 12/20/2019

News: Statement on Selection of Andrew Bailey to Succeed Mark Carney as Gove… | 12/20/2019

Enforcement: Keith Springer and Springer Investment Management, Inc. dba Springer F… | 12/20/2019

Enforcement: Songjiang Wang… | 12/20/2019

Enforcement: S. Paul Kelley, et al…. | 12/20/2019

Agency Update: Baillie Gifford European Growth Trust plc… | 12/20/2019

News: Statement on Appointment of New Chair and Five New Members of the Fina… | 12/19/2019

News: Small Business Advocate Releases First Annual Report… | 12/19/2019

 
 
 
TREAS
 
 
 
 

News: U.S. Department of the Treasury… | 12/20/2019

News: U.S. Department of the Treasury… | 12/20/2019

News: U.S. Department of the Treasury… | 12/19/2019

News: U.S. Department of the Treasury… | 12/19/2019

News: U.S. Department of the Treasury… | 12/19/2019

News: U.S. Department of the Treasury… | 12/19/2019

News: U.S. Department of the Treasury… | 12/19/2019

News: U.S. Department of the Treasury… | 12/19/2019

News: U.S. Department of the Treasury… | 12/18/2019

News: U.S. Department of the Treasury… | 12/18/2019

 
 
 
UK-BOE
 
 
 
 
 
 
 
 

News: PRA announces special requirements regarding whistleblowing systems an… | 12/23/2019

Agency Update: Platform competition and incumbency advantage under heterogeneous swit… | 12/20/2019

Agency Update: Macroeconomic effects of political risk shocks… | 12/20/2019

Agency Update: Simulating liquidity stress in the derivatives market… | 12/20/2019

Agency Update: Monetary policy and birth rates: the effect of mortgage rate pass-thro… | 12/20/2019

Agency Update: All you need is cash: corporate cash holdings and investment after the… | 12/20/2019

Agency Update: The empirics of granular origins: some challenges and solutions with a… | 12/20/2019

Agency Update: UK house prices and three decades of decline in the risk=E2=80=91free real int… | 12/20/2019

Agency Update: Capital and liquidity interaction in banking… | 12/20/2019

Agency Update: The role of households=E2=80=99 borrowing constraints in the transmission of m… | 12/20/2019

 
 
 
UK-CMA
 
 
 
 

Press Release: CMA lifts the lid on digital giants… | 12/18/2019

Press Release: Estate agents fined over half a million pounds for price fixing… | 12/17/2019

News Story: Pharmaceutical merger cleared by CMA… | 12/16/2019

 
 
 
UK-FCA
 
 
 
 
 
 

News: Ouroneclub… | 12/23/2019

News: Star Finance… | 12/23/2019

News: The Financial Services Regulatory Partners Phoenixing Group… | 12/20/2019

News: RI Markets… | 12/20/2019

News: FCA fines former managing director =C2=A345,000 for failure to notify perso… | 12/20/2019

News: Aragon Asset Management (clone of authorised firm)… | 12/20/2019

News: Simply Bonds… | 12/20/2019

News: FCA secures confiscation order totalling over =C2=A3170,000 against convict… | 12/20/2019

News: Quick Loans UK Ltd… | 12/20/2019

News: Gato Capital Partners… | 12/20/2019

 
 
 
UK-HMT
 
 
 
 
 
 
 
 

News Story: Christmas comes early for first =C2=A35k winner of new Treasury-backed savi… | 12/22/2019

Speech: Chancellor’s Statement on the Governor of the Bank of England… | 12/20/2019

News Story: Andrew Bailey to be new Governor of the Bank of England… | 12/20/2019

Transparency: Basic bank accounts: July 2018 to June 2019… | 12/20/2019

News Story: Government to take new actions on loan schemes following Morse review… | 12/20/2019

Guidance: Government Financial Reporting Manual: 2020-21… | 12/19/2019

Policy Paper: Global Anti-Corruption Programme… | 12/19/2019

Corporate Report: Financial Reporting Advisory Board minutes and associated papers: 21 N… | 12/19/2019

Consultation Outcome: Government Financial Reporting Manual consultation… | 12/19/2019

Correspondence: DAO 05/19 Accounts Directions 2019-20… | 12/19/2019

 
 
 
UK-ICO
 
 
 
 

News: Trust, technology and slippers with torches… | 12/23/2019

News: Statement on ICO-approved certification schemes… | 12/20/2019

News: Adtech and the data protection debate =E2=80=93 where next?… | 12/20/2019

News: London pharmacy fined after =E2=80=9Ccareless=E2=80=9D storage of patient data… | 12/20/2019

Audit: North Bristol NHS Trust — North Bristol NHS Trust audit report execut… | 12/16/2019

Audit: North Bristol NHS Trust… | 12/16/2019

 
 
 
UK-LSB
 
 
 
 

News: The Co-operative Bank signs up to CRM Code — None… | 12/17/2019

News: The Co-operative Bank signs up to CRM Code… | 12/17/2019

News: The Co-operative Bank signs up to CRM Code — contingent-reimbursement… | 12/17/2019

 
 
 
UK-PRA
 
 
 
 
 
 

Statement: Results of the firm feedback survey 2018/19 – Results of the firm feed… | 12/20/2019

Statement: Results of the firm feedback survey 2018/19… | 12/20/2019

Policy statement: Occasional Consultation Paper – October 2019… | 12/19/2019

Policy statement: Occasional Consultation Paper – October 2019 – PRA RULEBOOK: CRR FIRMS… | 12/19/2019

Letter: Letter from Sam Woods: The prudential regulatory framework and Libor t… | 12/18/2019

Letter: Letter from Sam Woods: The prudential regulatory framework and Libor t… | 12/18/2019

Policy statement: Pillar 2 liquidity: PRA110 reporting frequency threshold – Policy Stat… | 12/17/2019

Policy statement: Pillar 2 liquidity: PRA110 reporting frequency threshold… | 12/17/2019

Policy statement: Pillar 2 liquidity: PRA110 reporting frequency threshold – PRA RULEBOO… | 12/17/2019

Prudential Regulation: PRA Rulebook: CRR Firms: Regulatory Reporting (Ring Fence Bodies, Capi… | 12/17/2019

 
 
 
VA
 
 
 
 

News: This announcement provides information on system maintenance occurring… | 12/16/2019

 

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