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

-

OFAC enforcements increased 50% over the past 30 days

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SEC issued enforcements: $88,633,075.00 over the past 30 days

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123 Final Rules go into effect in the next 30 days

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42 Mortgage Lending docs published in the last 7 days

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149 docs with 7429 extracted obligations from the last 7 days

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

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6910 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 Jan 27- Feb 03

 
 
CA-BOC
 
 
 
 

Agency Update: Managing GDP Tail Risk… | 01/28/2020

 
 
 
CA-CANLII
 
 
 
 

Agency Update: Order Acknowledging Receipt of the Assessments Done Pursuant to Subsec… | 01/31/2020

Agency Update: Cannabis for Medical Purposes Remission Order, SOR/2020-9 [Modified on… | 01/31/2020

 
 
 
CA-OPC
 
 
 
 

News: Announcement: Commissioner seeks input on protecting Canadians=E2=80=99 rights… | 01/28/2020

News: Announcement: OPC launches a privacy presentation package aimed to get… | 01/28/2020

News: Announcement: Commissioners demand Alberta business immediately stop u… | 01/27/2020

 
 
 
CA-OSFI
 
 
 
 

Agency Update: Pr=C3=A9avis r=C3=A9glementaires et l=C3=A9gislatifs — Contr=C3=B4le de fait (2007-02)… | 01/31/2020

Agency Update: Regulatory and Legislative Advisories — Corporate Names, Registered N… | 01/31/2020

Agency Update: Regulatory and Legislative Advisories — Control in Fact (2007-02)… | 01/31/2020

Agency Update: Regulatory and Legislative Advisories — Investments – Large asset tra… | 01/31/2020

Agency Update: Pr=C3=A9avis r=C3=A9glementaires et l=C3=A9gislatifs — D=C3=A9nominations sociales, noms … | 01/31/2020

Agency Update: Regulatory and Legislative Advisories… | 01/31/2020

Agency Update: Regulatory and Legislative Advisories — Substantial Investments… | 01/31/2020

Agency Update: Pr=C3=A9avis r=C3=A9glementaires et l=C3=A9gislatifs — Placements – Op=C3=A9rations impor… | 01/31/2020

Agency Update: Pr=C3=A9avis r=C3=A9glementaires et l=C3=A9gislatifs — Int=C3=A9r=C3=AAts de groupe financier… | 01/31/2020

Agency Update: Pr=C3=A9avis r=C3=A9glementaires et l=C3=A9gislatifs… | 01/31/2020

 
 
 
CFPB
 
 
 
 
 
 

Enforcement Document: Citizens Bank, N.A. Complaint… | 01/30/2020

Enforcement Action: Citizens Bank, N.A…. | 01/30/2020

Blog: Know your data: Our updated list of reporting companies… | 01/30/2020

Press release: Consumer Financial Protection Bureau Announces Action Against Citizens… | 01/30/2020

Press release: CFPB Announces Additions to Executive Team… | 01/30/2020

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

 
 
 
CFTC
 
 
 
 
 
 

Notice: Agency Information Collection Activities Under OMB Review… | 01/30/2020

Notice: Agency Information Collection Activities Under OMB Review… | 01/30/2020

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

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

News: CFTC Orders Commodity Pool Operator, CEO to Pay More Than $10 Million … | 01/27/2020

Enforcement: Complaint: Edward S. Walczak… | 01/27/2020

Enforcement: Order: Catalyst Capital Advisors… | 01/27/2020

 
 
 
DOJ
 
 
 
 

Notice: Agency Information Collection Activities; Proposed eCollection eCommen… | 01/29/2020

Notice: Notice of Lodging of Proposed Consent Decree Under the Clean Air Act… | 01/28/2020

Agency Update: The Americans with Disabilities Act 30th Anniversary: Furthering the P… | 01/27/2020

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

 
 
 
DOL
 
 
 
 

Notice: Agency Information Collection Activities; Submission for OMB Review; C… | 02/03/2020

Notice: President’s Committee on the International Labor Organization Charter … | 02/03/2020

Notice: Agency Information Collection Activities; Submission for OMB Review; C… | 01/31/2020

Final Rule: Nondisplacement of Qualified Workers Under Service Contracts; Rescissi… | 01/31/2020

Notice: Agency Information Collection Activities; Submission for OMB Review; C… | 01/31/2020

Notice: Agency Information Collection Activities; Submission for OMB Review; C… | 01/31/2020

Notice: Agency Information Collection Activities; Submission for OMB Review; C… | 01/31/2020

Notice: Agency Information Collection Activities; Submission for OMB Review; C… | 01/30/2020

Notice: Agency Information Collection Activities; Submission for OMB Review; C… | 01/30/2020

Notice: Agency Information Collection Activities; Submission for OMB Review; C… | 01/30/2020

 
 
 
EBSA
 
 
 
 

Notice: Proposed Information Collection Request Submitted for Public Comment; … | 01/29/2020

 
 
 
EOP
 
 
 
 

Presidential Document: National Day of Remembrance of the 75th Anniversary of the Liberation … | 01/29/2020

Presidential Document: National School Choice Week, 2020… | 01/29/2020

Presidential Document: Adjusting Imports of Derivative Aluminum Articles and Derivative Steel… | 01/29/2020

Presidential Document: To Further Facilitate Positive Adjustment to Competition From Imports … | 01/28/2020

 
 
 
FDIC
 
 
 
 

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

Notice: Notice to All Interested Parties of Intent To Terminate Receiverships… | 02/03/2020

Final Rule: Regulatory Capital Rule: Capital Simplification for Qualifying Communi… | 01/30/2020

Notice: Sunshine Act Meeting… | 01/28/2020

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

 
 
 
FFIEC
 
 
 
 

Notice: Appraisal Subcommittee Notice of Meeting… | 02/03/2020

Notice: Appraisal Subcommittee Notice of Meeting… | 02/03/2020

 
 
 
FINCEN
 
 
 
 

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

 
 
 
FINRA
 
 
 
 

AWCs (Letters of Acceptance, Waiver, and Consent): Daniel R. Castoriano AWCs (Letters of Acceptance, Waiver, and Consent)… | 01/31/2020

AWCs (Letters of Acceptance, Waiver, and Consent): John Robert Barrows AWCs (Letters of Acceptance, Waiver, and Consent)… | 01/31/2020

AWCs (Letters of Acceptance, Waiver, and Consent): Randy T. Carpen AWCs (Letters of Acceptance, Waiver, and Consent)… | 01/31/2020

Notice: Self-Regulatory Organizations; Financial Industry Regulatory Authority… | 01/30/2020

AWCs (Letters of Acceptance, Waiver, and Consent): Keith T. Rich AWCs (Letters of Acceptance, Waiver, and Consent)… | 01/30/2020

AWCs (Letters of Acceptance, Waiver, and Consent): Thomas S. Martin AWCs (Letters of Acceptance, Waiver, and Consent)… | 01/30/2020

AWCs (Letters of Acceptance, Waiver, and Consent): Lila Marie Stokkeland AWCs (Letters of Acceptance, Waiver, and Consent… | 01/29/2020

Notice: Self-Regulatory Organizations; Financial Industry Regulatory Authority… | 01/29/2020

AWCs (Letters of Acceptance, Waiver, and Consent): AWCs (Letters of Acceptance, Waiver, and Consent)… | 01/29/2020

AWCs (Letters of Acceptance, Waiver, and Consent): Antonio Gutierrez Puente AWCs (Letters of Acceptance, Waiver, and Cons… | 01/29/2020

 
 
 
FRS
 
 
 
 

Notice: Change in Bank Control Notices; Acquisitions of Shares of a Bank or Ba… | 01/31/2020

News: Shared National Credit Review finds risk remains elevated in leveraged… | 01/31/2020

News: SNC Program Review Report (PDF) – Shared National Credit Review finds … | 01/31/2020

News: Statement by Governor Lael Brainard – Federal Reserve finalizes rule t… | 01/30/2020

News: Federal Reserve finalizes rule to simplify and increase the transparen… | 01/30/2020

News: Federal Reserve Board issues enforcement action with Alden State Bank… | 01/30/2020

News: Agencies propose changes to modify Volcker rule “covered funds” restri… | 01/30/2020

News: Michelle W. Bowman sworn in for second term as member of the Board of … | 01/30/2020

News: Statement by Vice Chair for Supervision Randal K. Quarles – Agencies p… | 01/30/2020

News: Statement by Governor Lael Brainard – Agencies propose changes to modi… | 01/30/2020

 
 
 
FTC
 
 
 
 

Notice: T&M Protection Resources, LLC; Analysis To Aid Public Comment… | 02/03/2020

News: FTC Warns 19 VoIP Service Providers That ‘Assisting and Facilitating’ … | 01/30/2020

News: FTC Warns 19 VoIP Service Providers That ‘Assisting and Facilitating’ … | 01/30/2020

News: Statement of the FTC Chairman Regarding Announcement that Aveanna Heal… | 01/30/2020

News: FTC Finalizes Settlements with Four Companies Related to Privacy Shiel… | 01/29/2020

News: Cmr. Slaughter panelist at New York State Bar Association Annual Meeti… | 01/28/2020

Notice: Revised Jurisdictional Thresholds for Section 7A of the Clayton Act… | 01/28/2020

News: FTC Extends Deadline for Comments on Workshop Addressing Non-Compete C… | 01/28/2020

News: Background Check Services Provider Agrees to Settle FTC Allegations th… | 01/28/2020

News: FTC Announces Annual Update of Size of Transaction Thresholds for Prem… | 01/28/2020

 
 
 
Fannie
 
 
 
 

News: Interactive URLA form published… | 01/29/2020

 
 
 
INT-BIS
 
 
 
 

News: Markets Committee calls for wider adoption of global code of conduct f… | 01/30/2020

 
 
 
INT-EC
 
 
 
 

News: January issue of newsletter is out!… | 01/31/2020

 
 
 
INT-FSB
 
 
 
 

News: Correspondence with ISDA on pre-cessation triggers… | 01/30/2020

 
 
 
INT-IOSCO
 
 
 
 

Agency Update: Board Priorities – IOSCO work program for 2020… | 01/30/2020

 
 
 
NCUA
 
 
 
 

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

Proposed Rule: Combination Transactions With Non-Credit Unions; Credit Union Asset Ac… | 01/30/2020

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

 
 
 
NYSE
 
 
 
 

Notice: Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of … | 02/03/2020

Notice: Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of … | 01/30/2020

 
 
 
OCC
 
 
 
 

Comment: Community Reinvestment Act Regulations; Public Submission; Casa of Ore… | 01/31/2020

Comment: Community Reinvestment Act Regulations; Public Submission; Neighborhoo… | 01/31/2020

Comment: Community Reinvestment Act Regulations; Public Submission; Latino Econ… | 01/31/2020

Comment: Community Reinvestment Act Regulations; Public Submission; National Co… | 01/31/2020

Comment: Community Reinvestment Act Regulations; Public Submission; Housing Opt… | 01/31/2020

Notice: Agency Information Collection Activities: Revision of an Approved Info… | 01/31/2020

Comment: Community Reinvestment Act Regulations; Public Submission; Woodstock I… | 01/30/2020

Comment: Community Reinvestment Act Regulations; Public Submission; Urban Impac… | 01/30/2020

Comment: Community Reinvestment Act Regulations; Public Submission; Miranda Mic… | 01/30/2020

Comment: Community Reinvestment Act Regulations; Public Submission; Chris Alvar… | 01/30/2020

 
 
 
OFAC
 
 
 
 

Notice: Notice of OFAC Sanctions Actions… | 02/03/2020

Financial Sanction: Iran-related Designations Removals and Designation Update; Non-prolife… | 01/31/2020

Notice: Notice of OFAC Sanctions Actions… | 01/31/2020

Financial Sanction: Iran-related Designation and Designation Update; Non-proliferation Des… | 01/30/2020

Financial Sanction: Ukraine-/Russia-related Designations… | 01/29/2020

Notice: Notice of OFAC Sanctions Actions… | 01/28/2020

Financial Sanction: Settlement Agreement between the U.S. Department of the Treasury’s Off… | 01/27/2020

 
 
 
SEC
 
 
 
 
 
 

Notice: Self-Regulatory Organizations; ICE Clear Credit LLC; Notice of Filing … | 02/03/2020

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

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

Notice: Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Designation … | 02/03/2020

Notice: Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of … | 02/03/2020

Notice: Sunshine Act Meetings… | 01/31/2020

Notice: Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Fili… | 01/31/2020

Enforcement: Michael Douglas Billings and MDB Group, LLC… | 01/31/2020

Notice: Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Notice of Fili… | 01/31/2020

Notice: Self-Regulatory Organizations; ICE Clear Credit LLC; Notice of Filing … | 01/31/2020

 
 
 
TREAS
 
 
 
 

News: U.S. Department of the Treasury… | 01/31/2020

Notice: Agency Information Collection Activities; Submission for OMB Review; C… | 01/31/2020

Notice: Agency Information Collection Activities; Submission for OMB Review; C… | 01/31/2020

Notice: Agency Information Collection Activities; Submission for OMB Review; C… | 01/30/2020

Notice: Agency Information Collection Activities; Submission for OMB Review; C… | 01/30/2020

News: U.S. Department of the Treasury… | 01/30/2020

Notice: Agency Information Collection Activities; Submission for OMB Review; C… | 01/30/2020

News: U.S. Department of the Treasury… | 01/30/2020

Notice: Agency Information Collection Activities; Submission for OMB Review; C… | 01/30/2020

Agency Update: U.S. Department of the Treasury… | 01/29/2020

 
 
 
UK-BOE
 
 
 
 
 
 

Agency Update: Asset Purchase Facility Quarterly Report – 2019 Q4… | 02/03/2020

Agency Update: Does energy efficiency predict mortgage performance?… | 01/31/2020

Working Paper: Does energy efficiency predict mortgage performance?… | 01/31/2020

Working Paper: Does energy efficiency predict mortgage performance? — Sign up for em… | 01/31/2020

Working Paper: Does energy efficiency predict mortgage performance? — Does energy ef… | 01/31/2020

News: Change in Deputy Governor responsibilities at the Bank… | 01/30/2020

Agency Update: Bank of England Weekly Report 29 January 2020… | 01/30/2020

Agency Update: Monthly Decision Maker Panel data – January 2020… | 01/30/2020

News: Asset Purchase Facility: Gilt Purchases – Market Notice 30 January 202… | 01/30/2020

Agency Update: Monetary Policy Report – January 2020… | 01/30/2020

 
 
 
UK-CMA
 
 
 
 

News Story: CMA demands StubHub fix concerns or face court action… | 01/29/2020

News Story: The UK’s withdrawal from the EU – The CMA’s role post Brexit… | 01/28/2020

Guidance: UK Exit from the EU: Guidance on the functions of the CMA under the Wi… | 01/28/2020

 
 
 
UK-FCA
 
 
 
 
 
 
 
 

Correspondence: Dear CEO Letter: Persistent debt (PD), your approach to customers who … | 02/03/2020

News: FCA tells credit card firms to review their approach to persistent deb… | 02/03/2020

Handbook: Handbook Notice 73… | 01/31/2020

Handbook: Temporary Permission Notification Supplementary Direction – Payments (… | 01/31/2020

News: First Recovery (clone of authorised firm)… | 01/31/2020

Policy statements: PS20/01: Mortgage advice and selling standards: feedback to CP19/17 an… | 01/31/2020

News: Capital International Management Company / CIMC (clone of EEA authoris… | 01/31/2020

FOI releases: Hospitality and gift log: October to December 2019… | 01/31/2020

Handbook: Temporary Permission Notification Supplementary Direction – FSMA (Janu… | 01/31/2020

FOI releases: Diary engagements: Andrew Bailey – October – December 2019… | 01/31/2020

 
 
 
UK-HMT
 
 
 
 
 
 

Guidance: Continued UK participation in EU programmes… | 01/31/2020

Policy Paper: Post implementation review of IFRS 9 and IFRS 15… | 01/30/2020

Policy Paper: Treasury Minutes – January 2020… | 01/30/2020

News Story: 31 million taxpayers to get April tax cut… | 01/30/2020

Guidance: UK financial sanctions guidance… | 01/30/2020

News Story: Devolution talks underway in Leeds… | 01/29/2020

Speech: EST speech at launch of Financial Services Skills Task Force report… | 01/28/2020

Correspondence: A letter from John Glen to Stephen Jones on Mortgage Prisoners… | 01/28/2020

 
 
 
UK-ICO
 
 
 
 

Follow up audit: Surrey Police… | 02/03/2020

Follow up audit: Sussex Police… | 02/03/2020

News: Statement on data protection and Brexit implementation =E2=80=93 what you need… | 01/29/2020

Follow up audit: Greenwood Academies Trust… | 01/29/2020

News: ICO launches latest phase of privacy innovation grants programme… | 01/28/2020

Follow up audit: Hampshire Office of the Police and Crime Commissioner… | 01/28/2020

News: Data Protection Day 2020… | 01/27/2020

Follow up audit: Hampshire Office of the Police and Crime Commissioner (1)… | 01/27/2020

Decision Notice: Department of Health and Social Care… | 01/27/2020

 
 
 
UK-LSB
 
 
 
 

News: Blog: So what’s the legacy? — lsb-establishes-advisory-group… | 01/29/2020

News: Blog: So what’s the legacy? — None… | 01/29/2020

News: Blog: So what’s the legacy? — contingent-reimbursement-model-code… | 01/29/2020

News: Blog: So what’s the legacy? — None… | 01/29/2020

News: Blog: So what’s the legacy?… | 01/29/2020

 
 
 
UK-PRA
 
 
 
 

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

 
 
 
VA
 
 
 
 

Notice: Agency Information Collection Activity: Financial Statement… | 02/03/2020

Notice: Agency Information Collection Activity: (Pay Now Enter Info Page)… | 02/03/2020

Notice: Agency Information Collection Activity: (Financial Status Report)… | 02/03/2020

Notice: Agency Information Collection Activity Under OMB Review: Request for N… | 02/03/2020

Notice: National Research Advisory Council; Amended Notice of Meeting… | 01/29/2020

Notice: Advisory Committee: National Academic Affiliations Council Notice of M… | 01/28/2020

Notice: Agency Information Collection Activity: Report and Certification of Lo… | 01/28/2020

Notice: Agency Information Collection Activity: (Request for Disinterment)… | 01/28/2020

 

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