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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Agency Report Feb 24 - Mar 2

 
 
CA-CANLII
 
 
 
 

Agency Update: Safety of Human Cells, Tissues and Organs for Transplantation Regulati… | 02/28/2020

 
 
 
CA-OPC
 
 
 
 

News: Announcement: OPC launches investigation into RCMP=E2=80=99s use of facial rec… | 02/28/2020

 
 
 
CFPB
 
 
 
 
 
 

Notice: Privacy Act of 1974; System of Records… | 02/28/2020

Report: GAO-IG Act Reporting… | 02/28/2020

News: GAO-IG Act Reporting… | 02/28/2020

News: Thirty-four organizations join the 2020 Your Money, Your Goals Cohort… | 02/27/2020

Blog: Thirty-four organizations join the 2020 Your Money, Your Goals Cohort… | 02/27/2020

Notice: Academic Research Council Meeting… | 02/25/2020

Notice: Credit Union Advisory Council Meeting… | 02/25/2020

Notice: Consumer Advisory Board Meetings… | 02/25/2020

Notice: Community Bank Advisory Council Meeting… | 02/25/2020

News: Director Kraninger’s Remarks at the Credit Union National Association … | 02/25/2020

 
 
 
CFTC
 
 
 
 

Proposed Rule: Prohibitions and Restrictions on Proprietary Trading and Certain Inter… | 02/28/2020

Proposed Rule: Position Limits for Derivatives… | 02/27/2020

 
 
 
DOJ
 
 
 
 

Notice: Agency Information Collection Activities; Proposed eCollection eCommen… | 03/02/2020

Notice: Notice of Proposed Consent Decree Under the Clean Air Act… | 03/02/2020

Agency Update: Rescheduled Best Practices Workshop on Technology in FOIA… | 02/28/2020

Notice: Notice of Lodging Proposed Consent Decree… | 02/28/2020

Agency Update: The Americans with Disabilities Act 30th Anniversary: Furthering the P… | 02/26/2020

Notice: Notice of Lodging of Proposed Consent Decree Under The Clean Water Act… | 02/25/2020

Agency Update: National African American History Month: Remembering Rosa Parks=E2=80=99 Work … | 02/24/2020

Notice: Agency Information Collection Activities; Proposed eCollection eCommen… | 02/24/2020

Notice: Agency Information Collection Activities, Proposed eCollection eCommen… | 02/24/2020

Notice: Agency Information Collection Activities; Proposed eCollection eCommen… | 02/24/2020

 
 
 
DOL
 
 
 
 

Notice: Agency Information Collection Activities; Submission for OMB Review; C… | 02/26/2020

Notice: Agency Information Collection Activities; Submission for OMB Review; C… | 02/26/2020

Notice: Agency Information Collection Activities; Submission for OMB Review; C… | 02/26/2020

Notice: Agency Information Collection Activities; Submission for OMB Review; C… | 02/26/2020

Notice: Agency Information Collection Activities; Submission for OMB Review; C… | 02/25/2020

 
 
 
EBSA
 
 
 
 

News: U.S. Department of Labor… | 02/27/2020

 
 
 
EOP
 
 
 
 

Presidential Document: Continuation of the National Emergency With Respect to Ukraine… | 02/27/2020

Presidential Document: Continuation of the National Emergency With Respect to Cuba and of the… | 02/27/2020

Presidential Document: Developing and Delivering More Water Supplies to California… | 02/26/2020

Presidential Document: Continuation of the National Emergency With Respect to Libya… | 02/24/2020

 
 
 
FDIC
 
 
 
 

Proposed Rule: Prohibitions and Restrictions on Proprietary Trading and Certain Inter… | 02/28/2020

Proposed Rule: Request for Information on FDIC Sign and Advertising Requirements and … | 02/26/2020

Proposed Rule: Community Reinvestment Act Regulations; Extension of Comment Period… | 02/26/2020

Final Rule: Regulatory Capital Rule: Capital Simplification for Qualifying Communi… | 02/26/2020

News: Remarks by FDIC Chairman Jelena McWilliams and Director of the Divisio… | 02/25/2020

 
 
 
FINRA
 
 
 
 
 
 

AWCs (Letters of Acceptance, Waiver, and Consent): AWCs (Letters of Acceptance, Waiver, and Consent)… | 02/28/2020

AWCs (Letters of Acceptance, Waiver, and Consent): Kenton C. Crabb AWCs (Letters of Acceptance, Waiver, and Consent)… | 02/28/2020

OHO Decisions: JAMES G. MCKINNEY OHO Decisions… | 02/27/2020

Complaints: Gustavo Trujillo Franco Complaints… | 02/26/2020

Notice: Self-Regulatory Organizations; Financial Industry Regulatory Authority… | 02/26/2020

Notice: Self-Regulatory Organizations; Financial Industry Regulatory Authority… | 02/26/2020

AWCs (Letters of Acceptance, Waiver, and Consent): John Clifford Park AWCs (Letters of Acceptance, Waiver, and Consent)… | 02/25/2020

AWCs (Letters of Acceptance, Waiver, and Consent): Joseph Morris Thurnherr AWCs (Letters of Acceptance, Waiver, and Conse… | 02/25/2020

AWCs (Letters of Acceptance, Waiver, and Consent): Paul A. Falcon AWCs (Letters of Acceptance, Waiver, and Consent)… | 02/25/2020

AWCs (Letters of Acceptance, Waiver, and Consent): Boris Skorodumov AWCs (Letters of Acceptance, Waiver, and Consent)… | 02/25/2020

 
 
 
FRS
 
 
 
 
 
 

Notice: Proposed Agency Information Collection Activities; Comment Request… | 03/02/2020

Notice: Proposed Agency Information Collection Activities; Comment Request… | 03/02/2020

Notice: Formations of, Acquisitions by, and Mergers of Bank Holding Companies… | 03/02/2020

Notice: Proposed Agency Information Collection Activities; Comment Request… | 03/02/2020

Notice: Change in Bank Control Notices; Acquisitions of Shares of a Bank or Ba… | 03/02/2020

Final Rule: Control and Divestiture Proceedings… | 03/02/2020

News: Statement from Federal Reserve Chair Jerome H. Powell… | 02/28/2020

Proposed Rule: Prohibitions and Restrictions on Proprietary Trading and Certain Inter… | 02/28/2020

Notice: Formations of, Acquisitions by, and Mergers of Bank Holding Companies… | 02/27/2020

Notice: Formations of, Acquisitions by, and Mergers of Bank Holding Companies… | 02/27/2020

 
 
 
FTC
 
 
 
 

Notice: FXI Holdings and Innocor; Analysis of Agreement Containing Consent Ord… | 03/02/2020

News: FTC Cmr Slaughter & FCC Cmr Starks Hold Field Hearing on 5G, AI, Priva… | 02/29/2020

News: Deputy General Counsel Heather Hippsley Retiring From the FTC… | 02/28/2020

News: FTC Obtains Temporary Restraining Order Against Alleged Investor Train… | 02/28/2020

News: Facebook Live with Social Security Administration=E2=80=99s Office of the Insp… | 02/27/2020

News: AARP Slam the Scam webinar… | 02/27/2020

News: FTC and Commonwealth of Pennsylvania Challenge Proposed Merger of Two … | 02/27/2020

Enforcement: Peabody Energy-Arch Coal… | 02/27/2020

Enforcement: Thomas Jefferson University, In the Matter of… | 02/27/2020

Enforcement: Thomas Jefferson University, et al…. | 02/27/2020

 
 
 
INT-BIS
 
 
 
 

News: Shaping the future of payments: BIS Quarterly Review… | 03/01/2020

News: Shaping the future of payments: BIS Quarterly Review… | 03/01/2020

News: Basel Committee meets to review vulnerabilities and emerging risks, ad… | 02/27/2020

News: Basel Committee meets to review vulnerabilities and emerging risks, ad… | 02/27/2020

Agency Update: Variability in risk-weighted assets: what does the market think?… | 02/25/2020

 
 
 
INT-FSB
 
 
 
 

Agency Update: Financial Stability Board survey on implementation reports… | 02/25/2020

News: Financial Stability Board survey on implementation reports… | 02/25/2020

 
 
 
NYSE
 
 
 
 

Notice: Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of … | 02/25/2020

Notice: Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of … | 02/24/2020

 
 
 
OCC
 
 
 
 
 
 

News Release: News Release 2020-23… | 02/28/2020

Proposed Rule: Prohibitions and Restrictions on Proprietary Trading and Certain Inter… | 02/28/2020

Comment: Community Reinvestment Act Regulations; Public Submission; Nicolle Can… | 02/27/2020

Comment: Community Reinvestment Act Regulations; Public Submission; Aidza Anton… | 02/27/2020

Comment: Community Reinvestment Act Regulations; Public Submission; Hill Distri… | 02/27/2020

Comment: Community Reinvestment Act Regulations; Public Submission; Federated I… | 02/27/2020

Comment: Community Reinvestment Act Regulations; Public Submission; HUD Tenants… | 02/27/2020

Comment: Community Reinvestment Act Regulations; Public Submission; Downstreet … | 02/27/2020

Comment: Community Reinvestment Act Regulations; Public Submission; Jessica Fra… | 02/27/2020

Comment: Community Reinvestment Act Regulations; Public Submission; Jena Band o… | 02/27/2020

 
 
 
OFAC
 
 
 
 

Financial Sanction: Issuance of Counter Terrorism and Iran-related General License 8 and F… | 02/27/2020

Financial Sanction: Counter Terrorism Designation… | 02/26/2020

Press Release: Treasury Designates Martyrs Foundation Companies and Officials as Glob… | 02/26/2020

Financial Sanction: Settlement Agreement between the U.S. Department of the Treasury’s Off… | 02/26/2020

Financial Sanction: Counter Terrorism Designations; South Sudan-related Designations Remov… | 02/26/2020

Press Release: Counter Terrorism Designations; South Sudan-related Designations Remov… | 02/26/2020

Notice: Notice of OFAC Sanctions Actions… | 02/25/2020

Notice: Notice of OFAC Sanctions Actions… | 02/24/2020

 
 
 
RHS
 
 
 
 

Notice: Notice of Solicitation of Applications (NOSA) for the Strategic Econom… | 02/28/2020

 
 
 
SEC
 
 
 
 
 
 

Notice: Sunshine Act Meetings… | 03/02/2020

Notice: Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of … | 03/02/2020

Final Rule: Delegation of Authority to the General Counsel of the Commission… | 03/02/2020

Notice: Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing a… | 03/02/2020

Notice: Self-Regulatory Organizations; Fixed Income Clearing Corporation; Noti… | 03/02/2020

Notice: Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Desi… | 03/02/2020

Notice: Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Fili… | 03/02/2020

Notice: Sunshine Act Meetings… | 03/02/2020

Notice: Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Filing and I… | 02/28/2020

Enforcement: Shawn Severson… | 02/28/2020

 
 
 
TREAS
 
 
 
 

News: U.S. Department of the Treasury… | 02/28/2020

Agency Update: Statement by the Secretary of the Treasury on the Grand Ethiopian Rena… | 02/28/2020

News: U.S. Department of the Treasury… | 02/28/2020

News: U.S. Department of the Treasury… | 02/28/2020

Notice: Privacy Act of 1974; System of Records… | 02/27/2020

News: U.S. Department of the Treasury… | 02/27/2020

News: U.S. Department of the Treasury… | 02/27/2020

Notice: Agency Information Collection Activities; Submission for OMB Review; C… | 02/26/2020

News: U.S. Department of the Treasury… | 02/26/2020

Notice: Agency Information Collection Activities; Submission for OMB Review; C… | 02/26/2020

 
 
 
UK-BOE
 
 
 
 
 
 

News: It=E2=80=99s time to talk about money – speech by Jon Cunliffe… | 02/28/2020

News: Minutes of the UK Money Markets Code Sub-Committee – January 2020… | 02/28/2020

News: Minutes of the Meeting of the Court of Directors held on 2 December 20… | 02/28/2020

News: Court minutes from 2017 that were previously redacted… | 02/28/2020

News: Macro-finance workshop 2020… | 02/28/2020

Minutes: Minutes of the UK Money Markets Code Sub-Committee – January 2020… | 02/28/2020

Minutes: Court minutes from 2017 that were previously redacted… | 02/28/2020

Minutes: Minutes of the Meeting of the Court of Directors held on 2 December 20… | 02/28/2020

Minutes: Minutes of the UK Money Markets Code Sub-Committee – January 2020 — M… | 02/28/2020

Minutes: Minutes of the Meeting of the Court of Directors held on 2 December 20… | 02/28/2020

 
 
 
UK-CMA
 
 
 
 

Press Release: CMA finds evidence of serious issues in leasehold selling… | 02/28/2020

Case Study: Concrete companies: construction cartel… | 02/25/2020

Speech: Andrea Coscelli: closer to consumers – competition and consumer protec… | 02/25/2020

 
 
 
UK-FCA
 
 
 
 
 
 

News: Claremont Baker Brokerage (clone of EEA authorised firm)… | 02/28/2020

Handbook: Handbook Notice 74… | 02/28/2020

News: FCA publishes the number of STORs received in 2019… | 02/28/2020

News: Euro 2 Pocket / Euro2Pocket (clone of FCA authorised firm)… | 02/28/2020

Feedback statements: FS20/2: Patient Capital and Authorised Funds… | 02/28/2020

News: Private Wealth Management LLP… | 02/27/2020

News: Montague Capital Investments Ltd… | 02/27/2020

News: Cleantech Europe Escrow LP… | 02/27/2020

Correspondence: Dear CEO letter: Asset management firms: prepare now for the end of LI… | 02/27/2020

News: Credit Finance / Credit Finance Ltd… | 02/27/2020

 
 
 
UK-HMT
 
 
 
 
 
 
 
 

National Statistics: Public Spending Statistics release: February 2020… | 02/28/2020

Correspondence: Letter from the Chancellor to the Chair of the OBR… | 02/27/2020

News Story: Government to help businesses with off-payroll working rules… | 02/27/2020

Policy Paper: Government response to Treasury Committee business rates inquiry… | 02/27/2020

Official Statistics: Help to Buy: ISA Scheme Quarterly Statistics: December 2015 to 30 Sept… | 02/27/2020

Policy Paper: Review of changes to the off-payroll working rules: report and conclus… | 02/27/2020

Official Statistics: Scottish VAT Assignment – Experimental Statistics… | 02/26/2020

Open Consultation: Police Covenant for England and Wales… | 02/26/2020

Policy Paper: Public service pensions increase: 2020… | 02/25/2020

News Story: HM Treasury has appointed James Heath as the new CEO of the National I… | 02/25/2020

 
 
 
UK-ICO
 
 
 
 
 
 

News: Scottish company hit with maximum fine for making nearly 200 million n… | 03/02/2020

Agency Update: CRDNN Limited… | 03/02/2020

Monetary penalties: CRDNN Limited — CRDNN Limited monetary penalty notice… | 03/02/2020

Enforcement notices: CRDNN Limited — CRDNN Limited Enforcement notice… | 03/02/2020

Agency Update: CRDNN Limited… | 03/02/2020

News: ICO Codes of Conduct and Certification schemes open for business… | 02/28/2020

Follow up audit: Academies Enterprise Trust… | 02/25/2020

 
 
 
UK-LSB
 
 
 
 

News: Salary Finance becomes a registered firm with the LSB… | 02/25/2020

News: Salary Finance becomes a registered firm with the LSB — Press-release… | 02/25/2020

News: Access to Banking Standard summary report February 2020 — access-to-b… | 02/24/2020

News: Access to Banking Standard summary report February 2020… | 02/24/2020

News: Access to Banking Standard summary report February 2020 — Press-relea… | 02/24/2020

 
 
 
UK-PRA
 
 
 
 
 
 

PRA Regulatory Digest: PRA Regulatory Digest – February 2020… | 03/02/2020

Policy statement: Liquidity: The PRA’s approach to supervising liquidity and funding ris… | 03/02/2020

Policy statement: Liquidity: The PRA’s approach to supervising liquidity and funding ris… | 03/02/2020

Consultation paper: Pillar 2A: Reconciling capital requirements and macroprudential buffer… | 02/28/2020

Letter: Letter from Anna Sweeney ‘Outstanding EU liabilities following the UK’… | 02/28/2020

Consultation paper: Pillar 2A: Reconciling capital requirements and macroprudential buffer… | 02/28/2020

Consultation paper: CP2/20 – Pillar 2A: Reconciling capital requirements and macroprudenti… | 02/28/2020

Consultation paper: CP2/20 – Pillar 2A: Reconciling capital requirements and macroprudenti… | 02/28/2020

Letter: Letter from Anna Sweeney ‘Outstanding EU liabilities following the UK’… | 02/28/2020

 
 
 
VA
 
 
 
 

Notice: Veterans’ Family, Caregiver, and Survivor Advisory Committee, Notice o… | 03/02/2020

Proposed Rule: Elimination of On-the-Job Training and Apprenticeship Trainee Certific… | 02/28/2020

Notice: Agency Information Collection Activity: (Customer Satisfaction Surveys… | 02/28/2020

Notice: Tiered Pharmacy Copayments for Medications; Calendar Year 2020 Update… | 02/27/2020

Notice: Agency Information Collection Activity: Monthly Certification of On-Th… | 02/27/2020

News: This announcement provides information on VALERI access issues…. | 02/26/2020

Notice: Agency Information Collection Activity: VA Loan Electronic Reporting I… | 02/24/2020

 

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