Regulatory Agency Updates | Week of January 20 to January 27

Agency Report January 13-20

 
 
CA-CANLII
 
 
 
 

Agency Update: Assisted Human Reproduction (Section 8 Consent) Regulations, SOR/2007-... | 01/23/2020

Agency Update: Order Designating the Minister of Families, Children and Social Develo... | 01/22/2020

Agency Update: Vaping Products Labelling and Packaging Regulations, SOR/2019-353 [Mod... | 01/22/2020

Agency Update: Benzodiazepines and Other Targeted Substances Regulations, SOR/2000-21... | 01/22/2020

Agency Update: Transportation Information Regulations, SOR/96-334 [Modified on Dec 15... | 01/22/2020

Agency Update: Licensed Dealers for Controlled Drugs and Narcotics (Veterinary Use) F... | 01/22/2020

Agency Update: Transfer of Duties Order, SI/2019-134 [Modified on Jan 15, 2020]... | 01/22/2020

 
 
 
CA-OPC
 
 
 
 

News: Media Advisory: A Data Privacy Day conversation with Canada=E2=80=99s Privacy ... | 01/24/2020

Agency Update: Privacy notices are key transparency tools... | 01/23/2020

 
 
 
CA-OSFI
 
 
 
 

Agency Update: Residential Mortgage Underwriting Practices and Procedures Guideline (... | 01/24/2020

Agency Update: Ligne directrice Pratiques et proc=C3=A9dures de souscription de pr=C3=AAts hypo... | 01/24/2020

Agency Update: Residential Mortgage Underwriting Practices and Procedures Guideline (... | 01/24/2020

Letter: Calendrier de mise en =C5=93uvre des exigences de fonds propres pour risque... | 01/20/2020

Letter: Implementation Timeline for Basel III Operational Risk Capital Require... | 01/20/2020

Letter: Implementation Timeline for Basel III Operational Risk Capital Require... | 01/20/2020

Letter: Implementation Timeline for Basel III Operational Risk Capital Require... | 01/20/2020

Letter: Calendrier de mise en =C5=93uvre des exigences de fonds propres pour risque... | 01/20/2020

 
 
 
CFPB
 
 
 
 
 
 

Final Rule: Policy Statement on Compliance Aids... | 01/27/2020

Notice: Agency Information Collection Activities: Comment Request... | 01/24/2020

Press release: CFPB Announces Policy Regarding Prohibition on Abusive Acts of Practic... | 01/24/2020

Blog: Small business lending and the Great Recession... | 01/23/2020

Comment: Remittance Transfers under the Electronic Fund Transfer Act (Regulatio... | 01/22/2020

Comment: Remittance Transfers under the Electronic Fund Transfer Act (Regulatio... | 01/22/2020

Comment: Remittance Transfers under the Electronic Fund Transfer Act (Regulatio... | 01/22/2020

Comment: Integrated Mortgage Disclosures Under the Real Estate Settlement Proce... | 01/22/2020

Comment: Remittance Transfers under the Electronic Fund Transfer Act (Regulatio... | 01/22/2020

Comment: Remittance Transfers under the Electronic Fund Transfer Act (Regulatio... | 01/22/2020

 
 
 
CFTC
 
 
 
 
 
 

Final Rule: Derivatives Clearing Organization General Provisions and Core Principl... | 01/27/2020

Notice: Sunshine Act Meetings... | 01/27/2020

Enforcement: Order: Propex Derivatives Pty Ltd... | 01/21/2020

News: CFTC Orders Australian Company to Pay $1 Million for Spoofing... | 01/21/2020

 
 
 
DOJ
 
 
 
 

Notice: Notice of Lodging of Proposed Consent Decree Under the Clean Air Act... | 01/27/2020

Notice: Agency Information Collection Activities; Proposed eCollection eCommen... | 01/27/2020

Agency Update: Antitrust Division Recognizes Employees for Outstanding Service at Ann... | 01/21/2020

Notice: Privacy Act of 1974; Systems of Records... | 01/21/2020

 
 
 
DOL
 
 
 
 

Notice: Agency Information Collection Activities; Submission for OMB Review; C... | 01/24/2020

Notice: Agency Information Collection Activities; Submission for OMB Review; C... | 01/22/2020

Notice: Agency Information Collection Activities; Submission for OMB Review; C... | 01/22/2020

Notice: Agency Information Collection Activities; Submission for OMB Review; C... | 01/21/2020

Notice: Agency Information Collection Activities; Submission for OMB Review; C... | 01/21/2020

 
 
 
EOP
 
 
 
 

Presidential Document: National Sanctity of Human Life Day, 2020... | 01/24/2020

Presidential Document: Martin Luther King, Jr., Federal Holiday, 2020... | 01/23/2020

Presidential Document: Religious Freedom Day, 2020... | 01/21/2020

 
 
 
FDIC
 
 
 
 

Proposed Rule: Incorporation of Existing Statement of Policy Regarding Requests for P... | 01/27/2020

Final Rule: Regulatory Capital Rule: Revisions to the Supplementary Leverage Ratio... | 01/27/2020

Notice: Agency Information Collection Activities; Submission for OMB Review; C... | 01/27/2020

Final Rule: Standardized Approach for Calculating the Exposure Amount of Derivativ... | 01/24/2020

Final Rule: Removal of Transferred OTS Regulations Regarding Certain Regulations f... | 01/21/2020

Final Rule: Removal of Transferred OTS Regulations Regarding Regulatory Reporting ... | 01/21/2020

Final Rule: Removal of Transferred OTS Regulations Regarding Accounting Requiremen... | 01/21/2020

 
 
 
FINCEN
 
 
 
 

Notice: Agency Information Collection Activities; Proposed Renewal; Comment Re... | 01/27/2020

 
 
 
FINRA
 
 
 
 

AWCs (Letters of Acceptance, Waiver, and Consent): Robert F. Spiegel AWCs (Letters of Acceptance, Waiver, and Consent)... | 01/24/2020

AWCs (Letters of Acceptance, Waiver, and Consent): Howard Davis AWCs (Letters of Acceptance, Waiver, and Consent)... | 01/23/2020

AWCs (Letters of Acceptance, Waiver, and Consent): Craig M. Gould AWCs (Letters of Acceptance, Waiver, and Consent)... | 01/23/2020

AWCs (Letters of Acceptance, Waiver, and Consent): Thomas J. Crossett AWCs (Letters of Acceptance, Waiver, and Consent)... | 01/23/2020

AWCs (Letters of Acceptance, Waiver, and Consent): Wesley K. Omoto AWCs (Letters of Acceptance, Waiver, and Consent)... | 01/23/2020

AWCs (Letters of Acceptance, Waiver, and Consent): Christopher R. Barone AWCs (Letters of Acceptance, Waiver, and Consent... | 01/23/2020

AWCs (Letters of Acceptance, Waiver, and Consent): Kari M. Bracy AWCs (Letters of Acceptance, Waiver, and Consent)... | 01/23/2020

AWCs (Letters of Acceptance, Waiver, and Consent): Charles Jonathan Evan AWCs (Letters of Acceptance, Waiver, and Consent... | 01/22/2020

AWCs (Letters of Acceptance, Waiver, and Consent): Michael Leahy AWCs (Letters of Acceptance, Waiver, and Consent)... | 01/22/2020

Orders Accepting Offers of Settlement: Shawna Choate Orders Accepting Offers of Settlement... | 01/21/2020

 
 
 
FRS
 
 
 
 

Notice: Government in the Sunshine; Meeting Notice... | 01/27/2020

Final Rule: Regulatory Capital Rule: Revisions to the Supplementary Leverage Ratio... | 01/27/2020

Notice: Agency Information Collection Activities; Submission for OMB Review; C... | 01/27/2020

Notice: Formations of, Acquisitions by, and Mergers of Bank Holding Companies... | 01/24/2020

Notice: Change in Bank Control Notices; Acquisitions of Shares of a Bank or Ba... | 01/24/2020

Final Rule: Standardized Approach for Calculating the Exposure Amount of Derivativ... | 01/24/2020

 
 
 
FTC
 
 
 
 
 
 

Agency Update: International Monthly: January 2020... | 01/26/2020

News: Closed Commission Meeting... | 01/24/2020

News: New FTC Data Shows that the FTC Received Nearly 1.7 Million Fraud Repo... | 01/23/2020

News: Tax ID Theft Awareness Week Twitter Chat: Protecting Against Tax ID Th... | 01/22/2020

News: Tax ID Theft Awareness Week Webinar with the FTC and Identity Theft Re... | 01/22/2020

News: Tax ID Theft Awareness Week Webinar with the FTC and Identity Theft Re... | 01/22/2020

News: Tax ID Theft Awareness Week Webinar for Small Businesses with the FTC ... | 01/22/2020

News: Tax ID Theft Awareness Webinar with the FTC, Veterans Administration a... | 01/22/2020

News: Tax ID Theft Awareness Webinar with the FTC, Veterans Administration a... | 01/22/2020

News: Tax ID Theft Awareness Week Tele-Town Halls with the FTC, AARP, and th... | 01/22/2020

 
 
 
INT-BIS
 
 
 
 

Agency Update: Bad bank resolutions and bank lending... | 01/24/2020

Agency Update: Impending arrival - a sequel to the survey on central bank digital cur... | 01/23/2020

News: Central bank group to assess potential cases for central bank digital ... | 01/21/2020

 
 
 
INT-EC
 
 
 
 

News: Investment Plan supports innovative electric power company in Spain... | 01/22/2020

 
 
 
NCUA
 
 
 
 

Notice: Submission for OMB Review; Comment Request... | 01/27/2020

Notice: Submission for OMB Review; Comment Request... | 01/21/2020

Notice: Sunshine Act: Notice of Agency Meeting... | 01/21/2020

 
 
 
NYSE
 
 
 
 

Notice: Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of ... | 01/23/2020

Notice: Self-Regulatory Organizations; New York Stock Exchange LLC; Order Inst... | 01/23/2020

Notice: Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of ... | 01/21/2020

 
 
 
OCC
 
 
 
 
 
 

Final Rule: Regulatory Capital Rule: Revisions to the Supplementary Leverage Ratio... | 01/27/2020

Notice: Agency Information Collection Activities; Submission for OMB Review; C... | 01/27/2020

Comment: Permissible interest on loans that are sold, assigned, or otherwise tr... | 01/24/2020

Comment: Margin and Capital Requirements for Covered Swap Entities ; Public Sub... | 01/24/2020

Comment: Margin and Capital Requirements for Covered Swap Entities ; Public Sub... | 01/24/2020

Comment: Margin and Capital Requirements for Covered Swap Entities ; Public Sub... | 01/24/2020

Final Rule: Standardized Approach for Calculating the Exposure Amount of Derivativ... | 01/24/2020

Comment: Permissible interest on loans that are sold, assigned, or otherwise tr... | 01/23/2020

Comment: Permissible interest on loans that are sold, assigned, or otherwise tr... | 01/23/2020

Comment: Permissible interest on loans that are sold, assigned, or otherwise tr... | 01/23/2020

 
 
 
OFAC
 
 
 
 

Financial Sanction: Iran-related Designations... | 01/23/2020

Notice: Notice of OFAC Sanctions Actions... | 01/21/2020

Financial Sanction: Venezuela-related Identifications; Issuance of Amended Venezuela-relat... | 01/21/2020

Financial Sanction: Settlement Agreement between the U.S. Department of the Treasury's Off... | 01/21/2020

Notice: Notice of OFAC Sanctions Actions... | 01/21/2020

 
 
 
SEC
 
 
 
 
 
 

Notice: Sunshine Act Meetings... | 01/27/2020

Notice: Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and I... | 01/27/2020

Notice: SEC Small Business Capital Formation Advisory Committee... | 01/27/2020

Notice: Self-Regulatory Organizations; Bats BZX Exchange, Inc.; Order Setting ... | 01/27/2020

Proposed Rule: Use of Derivatives by Registered Investment Companies and Business Dev... | 01/24/2020

Enforcement: Jeffrey P. Carpoff and Paulette Carpoff... | 01/24/2020

Enforcement: Jay Zola Scoratow... | 01/24/2020

Enforcement: Leonardo Cornide and Jorge Falcon... | 01/24/2020

Enforcement: SEC Complaint - Jeffrey P. Carpoff and Paulette Carpoff... | 01/24/2020

News: SEC Publishes Annual Reports on Credit Rating Agencies... | 01/24/2020

 
 
 
TREAS
 
 
 
 

News: U.S. Department of the Treasury... | 01/23/2020

News: U.S. Department of the Treasury... | 01/23/2020

Notice: Agency Information Collection Activities; Proposed Collection; Comment... | 01/22/2020

News: U.S. Department of the Treasury... | 01/21/2020

News: U.S. Department of the Treasury... | 01/21/2020

 
 
 
UK-BOE
 
 
 
 
 
 

Agency Update: Bank of England Weekly Report 22 January 2020... | 01/23/2020

News: Responding to leaps in payments: from unbundling to stablecoins - spee... | 01/23/2020

Weekly report: Bank of England Weekly Report 22 January 2020 -- Sign up for email not... | 01/23/2020

Weekly report: Bank of England Weekly Report 22 January 2020 -- Changes to the Bank's... | 01/23/2020

Weekly report: Bank of England Weekly Report 22 January 2020 -- Further details about... | 01/23/2020

Weekly report: Bank of England Weekly Report 22 January 2020 -- Weekly Report... | 01/23/2020

Weekly report: Bank of England Weekly Report 22 January 2020 -- View and download his... | 01/23/2020

Weekly report: Bank of England Weekly Report 22 January 2020... | 01/23/2020

News: Central Bank group to assess potential cases for central bank digital ... | 01/21/2020

News Release: Central Bank group to assess potential cases for central bank digital ... | 01/21/2020

 
 
 
UK-CMA
 
 
 
 

Press Release: Guitar maker fined =C2=A34.5m for illegally preventing price discounts... | 01/22/2020

News Story: CMA publishes loyalty penalty update... | 01/21/2020

News Story: Court of Appeal upholds CMA decision on online sales... | 01/21/2020

 
 
 
UK-FCA
 
 
 
 

Correspondence: Letter to ISDA on an unrepresentative LIBOR... | 01/24/2020

News: Atecs Capital... | 01/24/2020

News: Hamilton FE / Hamiltonfe... | 01/24/2020

News: EOS-Market / Wilkinson Europe LTD... | 01/24/2020

News: Christopher Woolard appointed Interim Chief Executive of the FCA... | 01/24/2020

News: Intrgroup / Mindworks Limited... | 01/24/2020

News: Financial Services AI Public Private Forum... | 01/23/2020

News: WVH Ethical / WVH Wealth Management / WVH Sustainable Portfolios (clon... | 01/23/2020

News: Firms now need to update or confirm their Firm Details annually... | 01/23/2020

News: Andrew Bailey calls on tech giants to collaborate with the FCA to help... | 01/23/2020

 
 
 
UK-HMT
 
 
 
 
 
 

News Story: First images of Brexit coin revealed... | 01/26/2020

News Story: Happy hour for pubs as government cuts business rates... | 01/25/2020

News Story: Christopher Woolard appointed interim Chief Executive of the FCA... | 01/24/2020

Transparency: Government procurement card HMT spend greater than =C2=A3500: October 2017... | 01/23/2020

Transparency: Government procurement card HMT spend greater than =C2=A3500: February 2019... | 01/23/2020

Transparency: Government procurement card HMT spend greater than =C2=A3500: December 2018... | 01/23/2020

Transparency: HMT ministers' meetings, hospitality, gifts and overseas travel: 1 Jul... | 01/23/2020

Transparency: Government procurement card HMT spend greater than =C2=A3500: January 2018... | 01/23/2020

Transparency: Government procurement card HMT spend greater than =C2=A3500: November 2018... | 01/23/2020

Transparency: Government procurement card HMT spend greater than =C2=A3500: June 2019... | 01/23/2020

 
 
 
UK-ICO
 
 
 
 

News: ICO statement in response to an announcement made by the Metropolitan ... | 01/24/2020

News: ICO attends the second ICIC FOI case handling workshop... | 01/23/2020

Follow up audit: South East Ambulance Coast Service NHS Foundation Trust... | 01/23/2020

News: ICO publishes Code of Practice to protect children=E2=80=99s privacy online... | 01/21/2020

News: ICO yn cyhoeddi Cod Ymarfer i ddiogelu preifatrwydd plant ar-lein... | 01/21/2020

Audit: Middlesbrough Council... | 01/20/2020

Audit: Middlesbrough Council -- Middlesbrough Council audit executive summary... | 01/20/2020

 
 
 
UK-PRA
 
 
 
 

Letter: Letter from Sarah Breeden and David Bailey 'Removal of bespoke liquidi... | 01/23/2020

Letter: Letter from Sarah Breeden and David Bailey 'Removal of bespoke liquidi... | 01/23/2020

Note: PRA Annual Conference for CEOs of the Non-Systemic UK Banks and Buildi... | 01/20/2020

 
 
 
VA
 
 
 
 

Notice: Agency Information Collection Activity: Designation of Beneficiary Gov... | 01/24/2020

Notice: Reimbursement for Caskets and Urns for Burial of Unclaimed Remains in ... | 01/23/2020

Notice: Agency Information Collection Activity: Nonsupervised Lender's Nominat... | 01/22/2020

Notice: National Research Advisory Council, Notice of Meeting... | 01/22/2020

 

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