117 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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46 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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27 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

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Agency Report July 06-13

 
 
CFPB
 
 
 
 
 
 

Final Rule: Payday, Vehicle Title, and Certain High-Cost Installment Loans; Ratifi… | 07/13/2020

Final Rule: Ratification of Bureau Actions… | 07/10/2020

Proposed Rule: Qualified Mortgage Definition Under the Truth in Lending Act (Regulati… | 07/10/2020

Proposed Rule: Qualified Mortgage Definition Under the Truth in Lending Act (Regulati… | 07/10/2020

Enforcement Action: Timemark, Inc., Timothy Lenihan, Sr., Mark Nagler, and Casey Gassaway… | 07/07/2020

Press release: Consumer Financial Protection Bureau Issues Final Rule on Small Dollar… | 07/07/2020

Enforcement Document: Timemark, Inc., Timothy Lenihan, Sr., Mark Nagler, and Casey Gassaway … | 07/07/2020

Press release: Consumer Financial Protection Bureau Ratifies Prior Regulatory Actions… | 07/07/2020

Enforcement Document: Timemark, Inc., Timothy Lenihan, Sr., Mark Nagler, and Casey Gassaway … | 07/07/2020

Press release: CFPB Announces Consumer Financial Protection Week, Virtual Events Nati… | 07/06/2020

 
 
 
CFTC
 
 
 
 
 
 

Final Rule: Margin Requirements for Uncleared Swaps for Swap Dealers and Major Swa… | 07/10/2020

Proposed Rule: Margin Requirements for Uncleared Swaps for Swap Dealers and Major Swa… | 07/10/2020

Final Rule: Registration and Compliance Requirements for Commodity Pool Operators … | 07/08/2020

Notice: Market Risk Advisory Committee… | 07/06/2020

Enforcement: Order: Foremost Trading LLC… | 07/06/2020

Enforcement: Order: Mark Miller… | 07/06/2020

News: CFTC Orders Illinois Resident and Broker to Pay Over $1.1 Million for … | 07/06/2020

 
 
 
DOJ
 
 
 
 

Notice: Agency Information Collection Activities; Proposed Collection; Comment… | 07/13/2020

Notice: Agency Information Collection Activities; Proposed eCollection eCommen… | 07/13/2020

Notice: Agency Information Collection Activities; Proposed Collection; Comment… | 07/13/2020

Notice: Notice of Lodging of Proposed Consent Decree Under The Clean Water Act… | 07/13/2020

Notice: Agency Information Collection Activities; Proposed eCollection eCommen… | 07/10/2020

Notice: Notice of Lodging of Proposed Consent Decree Under the Resource Conser… | 07/09/2020

Notice: Notice of Lodging of Proposed Consent Decree Under the Resource Conser… | 07/07/2020

 
 
 
EBSA
 
 
 
 

News: U.S. Departments of Labor, Health and Human Services, and the Treasury… | 07/10/2020

Final Rule: Conflict of Interest Rule-Retirement Investment Advice: Notice of Cour… | 07/07/2020

Proposed Rule: Improving Investment Advice for Workers & Retirees… | 07/07/2020

 
 
 
EOP
 
 
 
 

Presidential Document: Building and Rebuilding Monuments to American Heroes… | 07/08/2020

Presidential Document: Pledge to America’s Workers Month, 2020… | 07/06/2020

 
 
 
FDIC
 
 
 
 

Notice: Joint Report: Differences in Accounting and Capital Standards Among th… | 07/13/2020

Notice: FDIC Advisory Committee on Community Banking; Notice of Meeting… | 07/13/2020

Proposed Rule: Branch Application Procedures… | 07/10/2020

Notice: Notice of Termination of Receivership… | 07/07/2020

Proposed Rule: Loans in Areas Having Special Flood Hazards; Interagency Questions and… | 07/06/2020

 
 
 
FINCEN
 
 
 
 

Agency Update: FIN-2020-A002 (Spanish)… | 07/09/2020

News: FinCEN=E2=80=99s =E2=80=9CInnovation Hours=E2=80=9D Marks One-Year Milestone… | 07/08/2020

Agency Update: FIN-2020-A003… | 07/07/2020

News: FinCEN Issues Advisory on Imposter Scams and Money Mule Schemes Relate… | 07/07/2020

 
 
 
FINRA
 
 
 
 

Notice: Self-Regulatory Organizations; Financial Industry Regulatory Authority… | 07/09/2020

AWCs (Letters of Acceptance, Waiver, and Consent): Chardan Capital Markets, LLC AWCs (Letters of Acceptance, Waiver, and … | 07/07/2020

Notice: Self-Regulatory Organizations; Financial Industry Regulatory Authority… | 07/07/2020

AWCs (Letters of Acceptance, Waiver, and Consent): Karen Lynn Carlin AWCs (Letters of Acceptance, Waiver, and Consent)… | 07/06/2020

 
 
 
FRS
 
 
 
 
 
 

Notice: Joint Report: Differences in Accounting and Capital Standards Among th… | 07/13/2020

Notice: Change in Bank Control Notices; Acquisitions of Shares of a Bank or Ba… | 07/10/2020

Press Release: Federal Reserve Board announces termination of enforcement action with… | 07/09/2020

Notice: Formations of, Acquisitions by, and Mergers of Bank Holding Companies… | 07/09/2020

Notice: Change in Bank Control Notices; Acquisitions of Shares of a Bank or Ba… | 07/08/2020

Notice: Proposed Agency Information Collection Activities; Comment Request… | 07/08/2020

Notice: Formations of, Acquisitions by, and Mergers of Bank Holding Companies… | 07/08/2020

Notice: Proposed Agency Information Collection Activities; Comment Request… | 07/07/2020

Speech: Global in Life and Orderly in Death: Post-Crisis Reforms and the Too-B… | 07/07/2020

Press Release: Minutes of the Board’s discount rate meetings from May 18 through June… | 07/07/2020

 
 
 
FTC
 
 
 
 
 
 

Speech: Remarks of Commissioner Christine S. Wilson at the Digital Markets Ini… | 07/10/2020

Enforcement: FTC Sends More than $1 Million in Refunds to Victims of Student Loan D… | 07/10/2020

Notice: RagingWire Data Centers, Inc.; Analysis To Aid Public Comment… | 07/09/2020

News: Bureau of Consumer Protection… | 07/08/2020

Enforcement: Health Care
Complaint for Permanent Injunction and Other Equitable Rel… | 07/08/2020

Event: Cmr. Phillips gives honorary introductory remarks at a webinar held by… | 07/08/2020

Notice: Tri Star Energy, LLC; Analysis of Consent Orders To Aid Public Comment… | 07/07/2020

Notice: Eldorado Resorts and Caesars Entertainment; Analysis of Agreement Cont… | 07/07/2020

News: Cmr. Phillips gives honorary introductory remarks at a webinar held by… | 07/06/2020

Event: PrivacyCon 2020 — Download the Agenda (361.76 KB)… | 07/06/2020

 
 
 
INT-FATF
 
 
 
 

Publication: FATF Report to G20 on So-called Stablecoins… | 07/07/2020

Publication: 12 Month Review of Revised FATF Standards – Virtual Assets and VASPs… | 07/07/2020

 
 
 
NCUA
 
 
 
 

Proposed Rule: Loans in Areas Having Special Flood Hazards; Interagency Questions and… | 07/06/2020

 
 
 
NYSE
 
 
 
 

Notice: Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of … | 07/10/2020

Notice: Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of … | 07/10/2020

Notice: Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of … | 07/07/2020

Notice: Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of … | 07/07/2020

Notice: Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of … | 07/06/2020

 
 
 
OCC
 
 
 
 

Notice: Joint Report: Differences in Accounting and Capital Standards Among th… | 07/13/2020

News Release: News Release 2020-89… | 07/10/2020

Proposed Rule: Activities and Operations of National Banks and Federal Savings Associ… | 07/07/2020

Proposed Rule: National Bank and Federal Savings Association Digital Activities… | 07/07/2020

Proposed Rule: Loans in Areas Having Special Flood Hazards; Interagency Questions and… | 07/06/2020

 
 
 
OFAC
 
 
 
 

Notice: Notice of OFAC Sanctions Actions… | 07/08/2020

Notice: Notice of OFAC Sanctions Actions… | 07/06/2020

 
 
 
SEC
 
 
 
 
 
 

Notice: Self-Regulatory Organizations; Cboe EDGA Exchange, Inc.; Notice of Fil… | 07/13/2020

Notice: Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing a… | 07/13/2020

Notice: Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and I… | 07/13/2020

Notice: Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and… | 07/13/2020

Notice: Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Notice of Fili… | 07/13/2020

Notice: Self-Regulatory Organizations; BOX Exchange LLC; Notice of Filing and … | 07/10/2020

Notice: Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of … | 07/10/2020

Notice: Proposed Collection; Comment Request… | 07/10/2020

Notice: Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Fili… | 07/10/2020

Notice: Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of … | 07/10/2020

 
 
 
TREAS
 
 
 
 

Notice: Prompt Payment Interest Rate; Contract Disputes Act… | 07/10/2020

Notice: Terrorism Risk Insurance Program-Data Collection Forms (Extension of C… | 07/10/2020

Notice: Information Collections for Claims Processing and Other Purposes Under… | 07/10/2020

News: U.S. Department of the Treasury… | 07/09/2020

Notice: Multiemployer Pension Plan Application To Reduce Benefits… | 07/08/2020

Notice: Interest Rate Paid on Cash Deposited To Secure U.S. Immigration and Cu… | 07/08/2020

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

News: U.S. Department of the Treasury… | 07/06/2020

News: U.S. Department of the Treasury… | 07/06/2020

 
 
 
UK-BOE
 
 
 
 

Agency Update: Hanneke Smits steps down from Bank of England Court — Press release… | 07/07/2020

Agency Update: Bank of England statement: August Monetary Policy Report and Financial… | 07/07/2020

Agency Update: Hanneke Smits steps down from Bank of England Court… | 07/07/2020

 
 
 
UK-CMA
 
 
 
 

Correspondence: CMA open letter to all package holiday businesses… | 07/10/2020

 
 
 
UK-FCA
 
 
 
 

News: 7Online/RedRock Ltd… | 07/13/2020

News: Invest Wealth Solutions Ltd (clone of FCA authorised firm)… | 07/13/2020

News: Annual Report and Accounts 2019/20 and Annual Public Meeting… | 07/10/2020

News: Alert for firms using Digicert SSL certificates… | 07/10/2020

News: Bond Select UK / selectbonds.uk… | 07/10/2020

News: Compare Bond / compare-bond… | 07/10/2020

News: WITAN INVESTMENT TRUST PLC (clone of FCA authorised firm)… | 07/10/2020

News: Bond Compare UK… | 07/10/2020

News: Call for mortgage intermediaries willing to help mortgage prisoners… | 07/09/2020

News: Interactive Trade… | 07/09/2020

 
 
 
UK-HMT
 
 
 
 
 
 
 
 
 
 

Policy Paper: The Financial Services Compensation Scheme’s annual report and account… | 07/09/2020

Transparency: Government Major Projects Portfolio: Senior Responsible Owners list – … | 07/09/2020

Open Consultation: Consultation on reforms to the tax treatment of red diesel and other r… | 07/09/2020

Transparency: Infrastructure and Projects Authority annual report 2020… | 07/09/2020

Correspondence: Treasury Direction made under Sections 71 and 76 of the Coronavirus Ac… | 07/09/2020

Correspondence: Job Retention Bonus: ministerial direction… | 07/09/2020

Correspondence: Eat Out to Help Out Scheme: ministerial direction… | 07/09/2020

News Story: Chancellor’s Plan for Jobs to help the UK’s recovery… | 07/08/2020

Speech: A Plan for Jobs speech… | 07/08/2020

Press Release: Summer Statement delivers plan for jobs in Scotland… | 07/08/2020

 
 
 
UK-PRA
 
 
 
 

Consultation paper: Strengthening Accountability: SM&CR Forms update… | 07/13/2020

Consultation paper: Strengthening Accountability: SM&CR Forms update – Consultation Paper … | 07/13/2020

Consultation paper: Financial Service Compensation Scheme – Temporary High Balances Covera… | 07/09/2020

Consultation paper: Financial Service Compensation Scheme – Temporary High Balances Covera… | 07/09/2020

Policy statement: Regulated fees and levies: Rates proposals 2020/21 – Appendix 1: PRA F… | 07/07/2020

Statement: PRA Statement to insurers on the application of the matching adjustmen… | 07/07/2020

Statement: PRA Statement to insurers on the application of the matching adjustmen… | 07/07/2020

Statement: PRA statement on Libor transition and PRA resolution-related rules… | 07/07/2020

Policy statement: Regulated fees and levies: Rates proposals 2020/21… | 07/07/2020

Policy statement: Regulated fees and levies: Rates proposals 2020/21 – Policy Statement … | 07/07/2020

 
 
 
VA
 
 
 
 

Notice: Agency Information Collection Activity Under OMB Review: Application f… | 07/10/2020

Proposed Rule: Update and Clarify Regulatory Bars to Benefits Based on Character of D… | 07/10/2020

Notice: Agency Information Collection Activity: VA-Guaranteed Home Loan Cash-O… | 07/07/2020

Notice: National Research Advisory Council; Notice of Meeting… | 07/07/2020

Notice: Agency Information Collection Activity: VA Form 26-6705, Offer to Purc… | 07/07/2020

 

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