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

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FTC enforcements decreased 107% over the past 30 days

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OFAC issued enforcements: $752,177.00 over the past 30 days

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102 Final Rules go into effect in the next 30 days

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78 Mortgage Lending docs published in the last 7 days

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4929 docs with 12492 extracted obligations from the last 7 days

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

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12943 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

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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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