Regulatory Agency Updates | Week of January 06 to January 13

Agency Report January 06-13

Agency Report January 06-13

 
 
CFPB
 
 
 
 
 
 
 
 

Notice: Advisory Committees Solicitation of Applications for Membership… | 01/13/2020

Comment: Integrated Mortgage Disclosures Under the Real Estate Settlement Proce… | 01/10/2020

Press release: Consumer Financial Protection Bureau Issues No-Action Letter to Facili… | 01/10/2020

News: Consumer Financial Protection Bureau Issues No-Action Letter to Facili… | 01/10/2020

Blog: CFPB hosts savings summit to find opportunities to help people save… | 01/10/2020

Press release: CFPB Announces Membership of Taskforce on Federal Consumer Financial L… | 01/09/2020

News: CFPB, Utah’s Attorney General Announce Inaugural Joint Office Hours in… | 01/09/2020

Enforcement Action: Monster Loans, Lend Tech Loans, and Student Loan Debt Relief Companies… | 01/09/2020

Enforcement Document: Monster Loans, Lend Tech Loans, and Student Loan Debt Relief Companies… | 01/09/2020

Press release: Consumer Financial Protection Bureau Announces Action Against Monster … | 01/09/2020

 
 
 
CFTC
 
 
 
 
 
 

Final Rule: Annual Adjustment of Civil Monetary Penalties To Reflect Inflation-202… | 01/13/2020

Enforcement: Consent Order: Richard D. Carter, et al…. | 01/10/2020

News: CFTC Obtains $2.5 Million Judgment for Fraudulent Solicitation and Mis… | 01/10/2020

Enforcement: Complaint: US Coins Bullion… | 01/10/2020

News: CFTC Charges US Coin Bullion LLC and its Owners with $7.9 Million Prec… | 01/10/2020

Agency Update: 20-01… | 01/08/2020

Proposed Rule: Cross-Border Application of the Registration Thresholds and Certain Re… | 01/08/2020

 
 
 
DOJ
 
 
 
 

Notice: Notice of Lodging of Proposed Consent Decree Under The Clean Air Act… | 01/13/2020

Notice: Notice of Lodging of Proposed Consent Decree Under the Clean Air Act… | 01/13/2020

Notice: Notice of Lodging of Proposed Consent Decree Under the Comprehensive E… | 01/10/2020

Notice: Notice of Lodging of Proposed Consent Decree Under the Comprehensive E… | 01/08/2020

Notice: Notice of Extension of Public Comment Period for Proposed Consent Decr… | 01/06/2020

 
 
 
EOP
 
 
 
 

Presidential Document: National Slavery and Human Trafficking Prevention Month, 2020… | 01/06/2020

 
 
 
FDIC
 
 
 
 

Proposed Rule: Community Reinvestment Act Regulations… | 01/09/2020

Notice: Agency Information Collection Activities: Submission for OMB Review; C… | 01/08/2020

 
 
 
FINRA
 
 
 
 

AWCs (Letters of Acceptance, Waiver, and Consent): James R Willing AWCs (Letters of Acceptance, Waiver, and Consent)… | 01/07/2020

AWCs (Letters of Acceptance, Waiver, and Consent): Gabriel W. Hynes AWCs (Letters of Acceptance, Waiver, and Consent)… | 01/07/2020

AWCs (Letters of Acceptance, Waiver, and Consent): Shlomo Strugano AWCs (Letters of Acceptance, Waiver, and Consent)… | 01/06/2020

AWCs (Letters of Acceptance, Waiver, and Consent): AWCs (Letters of Acceptance, Waiver, and Consent)… | 01/06/2020

AWCs (Letters of Acceptance, Waiver, and Consent): John Chrysadakis AWCs (Letters of Acceptance, Waiver, and Consent)… | 01/06/2020

 
 
 
FRS
 
 
 
 

Notice: Formations of, Acquisitions by, and Mergers of Bank Holding Companies… | 01/13/2020

Notice: Change in Bank Control Notices; Acquisitions of Shares of a Bank or Ba… | 01/13/2020

News: Federal Reserve Board announces appointment of the chairs and deputy c… | 01/10/2020

News: Federal Reserve Board announces Reserve Bank income and expense data a… | 01/10/2020

Notice: Formations of, Acquisitions by, and Mergers of Bank Holding Companies… | 01/09/2020

News: Federal Reserve Board issues enforcement action with United Bank of El… | 01/09/2020

News: Attachment (PDF) – Minutes of the Board’s discount rate meetings from … | 01/09/2020

News: U.S. Economic Outlook and Monetary Policy – Vice Chair Richard H. Clar… | 01/09/2020

Press Release: Federal Reserve Board issues enforcement action with United Bank of El… | 01/09/2020

News: Minutes of the Board’s discount rate meetings from November 4 and Dece… | 01/09/2020

 
 
 
FTC
 
 
 
 

News: Defendants Who Helped Blast Consumers with Millions Of Cruise Line Rob… | 01/10/2020

Enforcement: Grand Bahama Cruise Line, LLC… | 01/10/2020

News: FTC and DOJ Announce Draft Vertical Merger Guidelines for Public Comme… | 01/10/2020

News: FTC Finalizes Settlement with California Tech Company Related to Priva… | 01/09/2020

Enforcement: Axon/VieVu, In the Matter of… | 01/08/2020

News: FTC to Hold Workshop Tomorrow Regarding Non-Compete Agreements in the … | 01/08/2020

Notice: Granting of Requests for Early Termination of the Waiting Period Under… | 01/08/2020

News: Chairman Simons fireside chat at the Consumer Technology Association p… | 01/07/2020

Enforcement: Mortgage Solutions FCS, Inc…. | 01/07/2020

Notice: Agency Information Collection Activities; Submission to the Office of … | 01/07/2020

 
 
 
INT-BIS
 
 
 
 

Agency Update: FX spot and swap market liquidity spillovers… | 01/13/2020

 
 
 
OCC
 
 
 
 

Comment: Community Reinvestment Act Regulations; Public Submission; Len Suzio… | 01/10/2020

Comment: Community Reinvestment Act Regulations; Public Submission; Teresa Hick… | 01/10/2020

Comment: Community Reinvestment Act Regulations; Public Submission; Chris Rose… | 01/10/2020

Proposed Rule: Community Reinvestment Act Regulations; Request for Public Input… | 01/10/2020

Notice: Agency Information Collection Activities: Information Collection Renew… | 01/10/2020

Comment: Community Reinvestment Act Regulations; Public Submission; Ken Thomas… | 01/09/2020

Proposed Rule: Community Reinvestment Act Regulations… | 01/09/2020

Comment: Interagency Guidance on Credit Risk Review Systems; Public Submission;… | 01/08/2020

Comment: Permissible interest on loans that are sold, assigned, or otherwise tr… | 01/08/2020

Comment: Interagency Guidance on Credit Risk Review Systems; Public Submission;… | 01/08/2020

 
 
 
OFAC
 
 
 
 

Financial Sanction: Iran-related Designations and Updates… | 01/10/2020

Financial Sanction: Issuance of Executive Order of January 10, 2020, “Imposing Sanctions W… | 01/10/2020

Financial Sanction: Global Magnitsky Designation… | 01/08/2020

Financial Sanction: Issuance of Amended Venezuela-related General License 6A… | 01/07/2020

 
 
 
SEC
 
 
 
 
 
 

Notice: Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and… | 01/13/2020

Notice: Sunshine Act Meetings… | 01/13/2020

Notice: Kayne Anderson MLP/Midstream Investment Company, et al…. | 01/13/2020

Notice: Adjustments to Civil Monetary Penalty Amounts… | 01/13/2020

Notice: Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and… | 01/13/2020

Notice: Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and I… | 01/13/2020

Notice: Self-Regulatory Organizations; Miami International Securities Exchange… | 01/10/2020

Enforcement: SEC Complaint-Bajic et al. – Bajic et al., Ciapala et al…. | 01/10/2020

Enforcement: John James Sheehan, Jr…. | 01/10/2020

Enforcement: Michael Mindlin… | 01/10/2020

 
 
 
TREAS
 
 
 
 

Notice: Multiemployer Pension Plan Application To Reduce Benefits… | 01/10/2020

Notice: Interest Rate Paid on Cash Deposited To Secure U.S. Immigration and Cu… | 01/10/2020

News: U.S. Department of the Treasury… | 01/10/2020

Notice: Privacy Act of 1974; System of Records… | 01/09/2020

News: U.S. Department of the Treasury… | 01/08/2020

News: U.S. Department of the Treasury… | 01/07/2020

 
 
 
UK-BOE
 
 
 
 
 
 

Agency Update: No-arbitrage pricing of GDP-linked bonds… | 01/10/2020

Agency Update: Impact of IFRS 9 on the cost of funding of banks in Europe… | 01/10/2020

Agency Update: Le Pont de Londres: interactions between monetary and prudential polic… | 01/10/2020

Working Paper: Le Pont de Londres: interactions between monetary and prudential polic… | 01/10/2020

Working Paper: Impact of IFRS 9 on the cost of funding of banks in Europe… | 01/10/2020

Working Paper: Le Pont de Londres: interactions between monetary and prudential polic… | 01/10/2020

Working Paper: Impact of IFRS 9 on the cost of funding of banks in Europe — Impact o… | 01/10/2020

Working Paper: No-arbitrage pricing of GDP-linked bonds — Sign up for email notifica… | 01/10/2020

Working Paper: Le Pont de Londres: interactions between monetary and prudential polic… | 01/10/2020

Working Paper: Impact of IFRS 9 on the cost of funding of banks in Europe — Sign up … | 01/10/2020

 
 
 
UK-CMA
 
 
 
 

Research: Regulation and competition: a review of the evidence… | 01/10/2020

Press Release: Facebook and eBay pledge to combat trading in fake reviews… | 01/08/2020

 
 
 
UK-FCA
 
 
 
 
 
 
 
 

News: FCA becomes AML and CTF supervisor of UK cryptoasset activities… | 01/10/2020

News: Algobit Ltd trading as AstroFX… | 01/10/2020

News: Coombes and Kiwonski Investments… | 01/10/2020

News: Ryde Asset Management… | 01/10/2020

News: Direct Fixed Income… | 01/10/2020

News: CertFX… | 01/10/2020

Final notices: Final Notice 2019: Rodney Brown… | 01/10/2020

News: Eagle Direct Investments (clone of EEA Authorised firm)… | 01/10/2020

News: The FCA commences civil proceedings in relation to alleged unauthorise… | 01/10/2020

News: Copy Trade Income / Copytradeincome… | 01/10/2020

 
 
 
UK-HMT
 
 
 
 

News Story: Realising our ambition through science… | 01/12/2020

News Story: Teesside transformation backed by =C2=A371m government funding… | 01/10/2020

Policy Paper: A report on ‘International Tax Enforcement: Disclosable Arrangements’…. | 01/08/2020

News Story: Chancellor launches Budget process to usher in ‘decade of renewal’… | 01/07/2020

National Statistics: GDP deflators at market prices, and money GDP December 2019 (Quarterly… | 01/07/2020

News Story: Off-payroll review launched… | 01/07/2020

National Statistics: UK official holdings of international reserves: December 2019… | 01/06/2020

 
 
 
UK-ICO
 
 
 
 
 
 

Follow up audit: West Yorkshire Police… | 01/10/2020

News: Nationwide retailer fined half a million pounds for failing to secure … | 01/09/2020

Agency Update: DSG Retail Ltd… | 01/09/2020

Monetary penalties: DSG Retail Ltd — DSG Retail Ltd monetary penalty notice… | 01/09/2020

News: ICO launches consultation on draft direct marketing code of practice… | 01/08/2020

News: Blog: The benefits of sharing personal data =E2=80=93 what can we learn from … | 01/06/2020

 
 
 
UK-PRA
 
 
 
 

Policy statement: Solvency II: Longevity risk transfers – simplification of pre-notifica… | 01/09/2020

Policy statement: Solvency II: Longevity risk transfers – simplification of pre-notifica… | 01/09/2020

 
 
 
VA
 
 
 
 

Notice: Agency Information Collection Activity: (Complaint of Employment Discr… | 01/08/2020

Notice: Summary of Precedent Opinion of the General Counsel… | 01/07/2020

Notice: Cost of Living Adjustments for Service-Connected Benefits… | 01/07/2020

 

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