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

-

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

-

Agency Report Dec 14 - 21

 
 
CAN-OPC
 
 
 
 

News: Announcement: Update to the joint statement on global privacy expecta… | 12/23/2020

News: Announcement: Contributions Program launches annual call for innovativ… | 12/21/2020

Questions and answers: Questions and answers =C3=A2=E2=82=AC” Bill 64… | 12/21/2020

Announcement: Contributions Program launches annualcall for innovative research and… | 12/21/2020

 
 
 
CFPB
 
 
 
 
 
 

Final Rule: Fair Credit Reporting Act Disclosures… | 12/23/2020

Blog: Credit applications remain depressed for credit cards and auto loans… | 12/23/2020

Blog: Mortgage relief deadlines extended… | 12/23/2020

Press release: Consumer Financial Protection BureauSettles with Student Loan Service… | 12/22/2020

Press release: Consumer Financial Protection BureauSettles with Santander Consumer U… | 12/22/2020

Final Rule: Truth in Lending Act (Regulation Z) Adjustment to Asset-Size Exemption… | 12/22/2020

Injunction Order: Santander Consumer USA Inc. Stipulation… | 12/22/2020

Consent Order: Santander Consumer USA Inc. Consent order… | 12/22/2020

Injunction Order: Discover Bank, The Student Loan Corporation, and Discover Products, In… | 12/22/2020

Final Rule: Home Mortgage Disclosure (Regulation C)Adjustment to Asset-Size Exemp… | 12/22/2020

 
 
 
CFTC
 
 
 
 

News: Wisconsin Court Enters $740,968 Judgement Against Company and its Prin… | 12/22/2020

Enforcement: Order: Southwest Services, et al…. |12/22/2020

News: Federal Court Orders North Carolina Man to Pay Over $255,000 in Future… | 12/22/2020

Enforcement: Consent Order: Winston Reed Investments LLC, et al. & Exhibit A… | 12/22/2020

 
 
 
DOJ
 
 
 
 

Notice: Notice of Lodging of Proposed Consent Decree Under The Comprehensive E… | 12/23/2020

Notice: Notice of Lodging of Proposed Consent Decree Under The Toxic Substance… | 12/23/2020

Final Rule: Procedures for Completing Uniform Periodic Reports in Non-Small Busine… | 12/21/2020

Notice: Notice of Lodging of Proposed Consent Decree Under the Clean Water Act… | 12/21/2020

 
 
 
DOL
 
 
 
 

Final Rule: Second and Subsequent Notifications… | 12/23/2020

Notice: Agency Information Collection Activities; Submission for OMB Review; C… | 12/23/2020

Notice: Agency Information Collection Activities; Submission for OMB Review; C… | 12/22/2020

 
 
 
EOP
 
 
 
 

Presidential Document: Promoting Beautiful Federal Civic Architecture… | 12/23/2020

Presidential Document: Promoting Redemption of Savings Bonds… | 12/23/2020

Presidential Document: Wright Brothers Day, 2020…| 12/21/2020

Presidential Document: National Strategy for Space Nuclear Power and Propulsion… | 12/21/2020

 
 
 
FDIC
 
 
 
 
 
 

Final Rule: Community Reinvestment Act Regulations… | 12/23/2020

Financial Institution Letter: FIL-115-2020 – Statusof Certain Investment Funds and Their Portfolio … | 12/22/2020

Notice: Guidance for Resolution Plan Submissions ofCertain Foreign-Based Cove… | 12/22/2020

Financial Institution Letter: FIL-116-2020 – Information Regarding the FDIC=C3=A2=E2=82=AC=E2=84=A2s Reservation of Autho… |12/22/2020

Notice: Notice to All Interested Parties of Intent To Terminate Receiverships… | 12/22/2020

Press Release: FDIC Releases New Application Programming Interface and Modernized Ver… | 12/21/2020

Notice: Sunshine Act Notice of Meeting To Be Held With Less Than Seven Days Ad… | 12/21/2020

 
 
 
FINCEN
 
 
 
 

Proposed Rule: Requirements for Certain Transactions Involving Convertible Virtual Cu… | 12/23/2020

Notice: Agency Information Collection Activities; Proposed Renewal; Comment Re… | 12/23/2020

Notice: Agency Information Collection Activities; Proposed Renewal; Comment Re… | 12/23/2020

Notice: Agency Information Collection Activities; Proposed Renewal; Comment Re… | 12/22/2020

 
 
 
FINRA
 
 
 
 
 
 

Notices: Regulatory Notice 20-43 FINRA Requests Comment on Enhancements to TRAC… | 12/24/2020

AWCs (Letters of Acceptance, Waiver, and Consent): Yousef Abbasi AWCs (Letters of Acceptance, Waiver, and Consent)… | 12/24/2020

AWCs (Letters of Acceptance, Waiver, and Consent): Paul Lawrence Fowler AWCs (Letters of Acceptance, Waiver, and Consent)… |12/23/2020

Notice: Self-Regulatory Organizations; Financial Industry Regulatory Authority… | 12/23/2020

AWCs (Letters of Acceptance, Waiver, and Consent): Jaime I. Sanchez Rivera AWCs (Letters of Acceptance, Waiver, and Conse… |12/23/2020

Complaints: Jason Howell Poff Complaints… | 12/23/2020

NAC Decisions: Charles A. Laverty NAC Decisions… | 12/22/2020

AWCs (Letters of Acceptance, Waiver, and Consent): David Jin Kyu Chong AWCs (Letters of Acceptance, Waiver, and Consent)… | 12/22/2020

NAC Decisions: Charles A. Laverty NAC Decisions… | 12/22/2020

AWCs (Letters of Acceptance, Waiver, and Consent): Beth L. Klein Friedman AWCs (Letters of Acceptance, Waiver, and Consen… |12/22/2020

 
 
 
FRS
 
 
 
 
 
 

Notice: Proposed Agency Information Collection Activities; Comment Request… | 12/23/2020

Notice: Proposed Agency Information Collection Activities; Comment Request… | 12/23/2020

Final Rule: Community Reinvestment Act Regulations… | 12/23/2020

Press Release: Federal Reserve Board announces appointment of the chairs and deputy c… | 12/23/2020

Notice: Agency Information Collection Activities: Announcement of Board Approv… | 12/23/2020

Notice: Proposed Agency Information Collection Activities; Comment Request… | 12/23/2020

SR Letter: SR 20-31 Status of Certain Investment Funds and Their Portfolio Invest… | 12/22/2020

Press Release: Regulation D: Reserve Requirements of Depository Institutions – Final … | 12/22/2020

Press Release: Federal Reserve Board invites publiccomment on proposed amendments to… | 12/22/2020

Notice: Agency Information Collection Activities: Announcement of Board Approv… | 12/22/2020

 
 
 
FTC
 
 
 
 
 
 
 
 

Motion: Joint Motion to Dismiss (1.21 MB) MethodistLe Bonheur Healthcare, In … | 12/23/2020

Enforcement: Alcohol
Agreement Containing Consent Orders (62.49 KB)
Order to Mainta… | 12/23/2020

Notice: SkyMed International, Inc.; Analysis To AidPublic Comment… | 12/23/2020

Notice: Ascension Data & Analytics, LLC; Analysis To Aid Public Comment… | 12/23/2020

Consumer Alert: AuraVie Refunds Products: Auravie, Dellure, L=C3=83=C2=A9OR Skincare, and Miracl… | 12/23/2020

News: FTC Imposes Conditions on E. & J. Gallo Winery=C3=A2=E2=82=AC=E2=84=A2s Acquisition of Asse… | 12/23/2020

News: Statement of Daniel Francis, Deputy Director of the FTC=C3=A2=E2=82=AC=E2=84=A2s Bureau of … | 12/23/2020

News: FTC Order Stops the Manufacturer of Superglues, and Company President,… | 12/22/2020

News: FTC Approves Final Amendments to the Energy Labeling Rule… | 12/22/2020

News: FTC Issues Commentary on Vertical Merger Enforcement… | 12/22/2020

 
 
 
INT-EBA
 
 
 
 

News: EBA publishes final technical standards on estimation of Pillar 2 and … | 12/23/2020

News: EBA publishes final technical standards on reporting of MREL decisions… | 12/23/2020

News: EBA publishes final draft technical standardson impracticability of c… | 12/23/2020

Press Release: EBA publishes final technical standards on estimation of Pillar 2 and … | 12/23/2020

Press Release: EBA publishes final draft technical standards on impracticability of c… | 12/23/2020

Press Release: EBA publishes final technical standards on reporting of MREL decisions… | 12/23/2020

Press Release: EBA publishes final technical standards on reporting of MREL decisions… | 12/23/2020

News: EBA publishes Executive Summary of its 2019 Annual Report… | 12/22/2020

News: EBA updates reporting framework 3.0 and technical standards on Pillar … | 12/22/2020

News: EBA monitors the use of the proportionality principle for recovery and… | 12/22/2020

 
 
 
INT-EC
 
 
 
 

News: Joint statement on Japan’s temporary equivalence regarding reinsurance… | 12/21/2020

 
 
 
INT-FATF
 
 
 
 

Publication: Mauritania’s progress in strengtheningmeasures to tackle money launde… | 12/23/2020

Publication: Consolidated assessment ratings… | 12/23/2020

Publication: Follow-up report to Sri Lanka’s assessment of anti-money laundering an… | 12/22/2020

Publication: Morocco’s progress in strengthening measures to tackle money launderin… | 12/22/2020

Publication: Follow-up report to Bangladesh’s assessment of anti-money laundering a… | 12/21/2020

 
 
 
INT-FSB
 
 
 
 

Agency Update: FSB Response to the IFRS Foundation’s Consultation Paper on Sustainabi… | 12/22/2020

Agency Update: FSB Response to the IFRS Foundation=C3=A2=E2=82=AC=E2=84=A2s Consultation Paper on Sustaina… | 12/22/2020

Agency Update: FSB Response to the IFRS Foundation=C3=A2=E2=82=AC=E2=84=A2s Consultation Paper on Sustaina… | 12/22/2020

News: FSB encourages the IFRS Foundation and authorities to use TCFD=C3=A2=E2=82=AC=E2=84=A2s rec… | 12/21/2020

 
 
 
INT-IOSCO
 
 
 
 

Media Release: IOSCO responds to IFRS Consultation on Sustainability Reporting… | 12/23/2020

Final Rule: FR13/2020 Initial Findings and Observations About the Impact of COVID-… | 12/22/2020

Final Rule: FR12/2020 Investor Education on Crypto-Assets… | 12/22/2020

Media Release: IOSCO seeks to help regulators address retail market conduct risks dur… | 12/22/2020

Media Release: IOSCO publishes report on education of retail investors regarding risk… | 12/22/2020

Media Release: IOSCO Issues Industry Survey on Exchange-Traded Funds… | 12/22/2020

Media Release: IOSCO Secretary General Paul Andrewsto depart IOSCO in February 2021… | 12/21/2020

 
 
 
NCUA
 
 
 
 

Notice: Submission for OMB Review; Comment Request… | 12/22/2020

Notice: Agency Information Collection Activities: Proposed Collection; Comment… | 12/22/2020

Final Rule: Temporary Regulatory Relief in Responseto COVID-19-Extension… | 12/22/2020

 
 
 
NYSE
 
 
 
 

Notice: Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of … | 12/23/2020

Notice: Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of … | 12/21/2020

 
 
 
OCC
 
 
 
 

Bulletin: OCC 2020-111 Activities and Operations ofNational Banks and Federal S… | 12/23/2020

News Release: NR 2020-177 Acting Comptroller of theCurrency Praises President=C3=A2=E2=82=AC=E2=84=A2s W… | 12/23/2020

Bulletin: OCC 2020-110 Treatment of Extensions of Credit to Certain Investment F… | 12/22/2020

Final Rule: Activities and Operations of National Banks and Federal Savings Associ… | 12/22/2020

Bulletin: OCC 2020-109 Comptroller’s Handbook : Updated ‘Foreword’ Booklet… | 12/21/2020

 
 
 
OFAC
 
 
 
 

Notice: Notice of OFAC Sanctions Actions Imposed onPersons Identified by the … | 12/23/2020

Financial Sanction: Belarus Designations; Iraq-related Designations Removals… | 12/23/2020

Financial Sanction: Issuance of Venezuela-related General License 5F and Amended Frequentl… | 12/23/2020

Financial Sanction: Issuance of Syria Frequently Asked Questions; Syria Designations; Syri… | 12/22/2020

Financial Sanction: Cuba Designations; Nicaragua-related Designations… | 12/21/2020

Notice: Notice of OFAC Sanctions Actions… | 12/21/2020

Press Release: Cuba Designations; Nicaragua-relatedDesignations — Treasury Sanction… | 12/21/2020

Press Release: Cuba Designations; Nicaragua-relatedDesignations — Treasury Identifi… | 12/21/2020

 
 
 
RHS
 
 
 
 

Notice: Notice of Request for Extension of a Currently Approved Information Co… | 12/22/2020

 
 
 
SEC
 
 
 
 
 
 
 
 

Notice: Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Fil… | 12/23/2020

Notice: Self-Regulatory Organizations; The Options Clearing Corporation; Notic… | 12/23/2020

Notice: Proposed Collection; Comment Request… | 12/23/2020

No-Action Letter: Prudential Financial, Inc…. | 12/23/2020

Enforcement: Pruco Securities, LLC… | 12/23/2020

Enforcement: Final Judgment – RPM International Inc. and Edward W. Moore… | 12/23/2020

Press Release: SEC Chief of Staff Sean Memon Announces Plans to Conclude Tenure… | 12/23/2020

Enforcement: Tierion, Inc…. | 12/23/2020

Press Release: SEC Issues Statement and Requests Comment Regarding the Custody of Dig… | 12/23/2020

Commission Order: Tierion, Inc…. | 12/23/2020

 
 
 
TREAS
 
 
 
 

Press Release: Treasury Sanctions Additional Belarusian Regime Actors for Undermining… | 12/23/2020

Press Release: President=C3=A2=E2=82=AC=E2=84=A2s Working Group on Financial Markets Releases Statement on… | 12/23/2020

Press Release: President=C3=A2=E2=82=AC=E2=84=A2s Working Group on Financial Markets Releases Report on Mo… | 12/22/2020

Statement: Statement by Secretary Steven T. Mnuchinon Passage of the Coronavirus… | 12/22/2020

Press Release: Treasury Targets Syrian Regime Officials and the Central Bank of Syria… | 12/22/2020

Press Release: Treasury Sanctions Three Nicaraguan Officials Supporting Ortega Regime… | 12/21/2020

Press Release: Treasury Identifies Cuban State-Owned Businesses for Sanctions Evasion… | 12/21/2020

Notice: IMARA Calculation for Calendar Year 2021 Under the Terrorism Risk Insu… | 12/21/2020

 
 
 
UK-BOE
 
 
 
 
 
 

News: Treasury Select Committee December Financial Stability Report… | 12/23/2020

News: Minutes of the Meeting of the Court of Directors held on 23 October 20… | 12/23/2020

Minutes: Minutes of the Meeting of the Court of Directors held on 23 October 20… | 12/23/2020

Minutes: Minutes of the Meeting of the Court of Directors held on 23 October 20… | 12/23/2020

Agency Update: The impact of Covid-19 on productivity… | 12/21/2020

Agency Update: Capital flows during the pandemic: lessons for a more resilient intern… | 12/21/2020

Financial Stability: Capital flows during the pandemic: lessons for a more resilient intern… | 12/21/2020

Working Paper: The impact of Covid-19 on productivity — The impact of Covid-19 on pr… | 12/21/2020

Working Paper: The impact of Covid-19 on productivity… | 12/21/2020

Financial Stability: Capital flows during the pandemic: lessons for a more resilient intern… | 12/21/2020

 
 
 
UK-CMA
 
 
 
 
 
 

CMA Case: TFL Ledertechnik / LANXESS Deutschland merger inquiry… | 12/24/2020

CMA Case: FNZ / GBST merger inquiry… | 12/24/2020

Guidance: CMA’s mergers intelligence function: CMA56… | 12/23/2020

Consultation Outcome: Updates to the CMA’s mergers procedural guidelines (CMA2 and CMA56)… | 12/23/2020

Form: Merger notice forms… | 12/23/2020

Guidance: Mergers – the CMA’s jurisdiction and procedure: CMA2… | 12/23/2020

CMA Case: Liberty Global plc / Telef=C3=B3nica S.A.merger inquiry… | 12/22/2020

CMA Case: Supply of precast concrete drainage products: civil investigation… | 12/22/2020

CMA Case: SDE Group / Innserve Limited merger inquiry… | 12/22/2020

CMA Case: Financial services sector: suspected anti-competitive arrangements… | 12/21/2020

 
 
 
UK-FCA
 
 
 
 
 
 
 
 

News: Brexit countdown for UK financial services sector… | 12/24/2020

News: Brexit countdown for UK financial services sector… | 12/24/2020

News: Brexit countdown for UK financial services sector… | 12/24/2020

News: Heronsgate Capital Limited (Clone of FCA authorised firm)… | 12/23/2020

News: Compare UK Bonds / compare-uk-bonds… | 12/23/2020

News: Emoney Finance (EMF)… | 12/23/2020

Meeting minutes: FCA Board Minutes: 12 November 2020… | 12/23/2020

News: Full Funding Circle / Fullfunding Circle (clone of FCA authorised firm… | 12/23/2020

News: Full Funding Circle / Fullfunding Circle (clone of FCA authorised firm… | 12/23/2020

News: Emoney Finance (EMF)… | 12/23/2020

 
 
 
UK-HMT
 
 
 
 
 
 

News Story: Extra =C2=A3800 million to support Scotland, Wales and Northern Ireland thr… | 12/24/2020

Guidance: Notice to exporters 2020/22: General Trade Licence Russia sanctions… | 12/24/2020

Html Publication: NTE 2020/22: General Trade Licence Russia sanctions… | 12/24/2020

Guidance: General Trade Licence: Russia sanctions… | 12/24/2020

Correspondence: DAO 04/20 Accounts Directions 2020-21… | 12/24/2020

Official Statistics: Bank Referral Scheme: December2020… | 12/23/2020

News Story: =C2=A323 million boost for British businesses through referral scheme… | 12/23/2020

News Story: =C2=A3400 million of new funding to support Scotland through Covid-19… | 12/23/2020

Transparency: OSCAR – publishing data from the database: December 2020… | 12/22/2020

Html Publication: Bridging Document… | 12/22/2020

 
 
 
UK-ICO
 
 
 
 

News: Update to the joint statement on global privacy expectations of video … | 12/23/2020

News: UK organisations using SolarWinds Orion platform should check whether … | 12/23/2020

Statement: Update to the joint statement on global privacy expectations of video … | 12/23/2020

Statement: UK organisations using SolarWinds Orion platform should check whether … | 12/23/2020

News: ICO calls on UK businesses to prepare to keepdata flowing at the end … | 12/21/2020

News: ICO calls on UK businesses to prepare to keepdata flowing at the end … | 12/21/2020

 
 
 
UK-PRA
 
 
 
 

Policy statement: Bank Recovery and Resolution Directive II – Appendix 2: PRA RULEBOOK: … | 12/21/2020

Policy statement: Bank Recovery and Resolution Directive II – Policy Statement 28/20 Ope… | 12/21/2020

Policy statement: Bank Recovery and Resolution Directive II – Appendix 1: PRA RULEBOOK: … | 12/21/2020

Policy statement: Bank Recovery and Resolution Directive II… | 12/21/2020

 
 
 
VA
 
 
 
 

Notice: Privacy Act of 1974; System of Records… |12/23/2020

Notice: Agency Information Collection Activity Under OMB Review: Mandatory Ver… | 12/23/2020

Notice: Privacy Act of 1974; System of Records… |12/23/2020

Notice: Reasonable Charges for Medical Care or Services; v4.215 Calendar Year … | 12/23/2020

Notice: Privacy Act of 1974; System of Records… |12/23/2020

Notice: Agency Information Collection Activity: Request for Information To Mak… | 12/23/2020

Notice: Agency Information Collection Activity: Survey of Individuals Using Th… | 12/22/2020

Notice: Solicitation of Nomination for Appointment to the Veterans’ Advisory C… | 12/22/2020

Notice: Agency Information Collection Activity Under OMB Review: Statement of … | 12/22/2020

 

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