Regulatory Agency Updates | Week of July 08 to July 15

Regulatory Agency Updates | Week of July 01 - July 08

Regulatory Agency Updates | Week of July 01 - July 08

 
 
CA-BOC
 
 
 
 

Agency Update: Canadian Securities Lending Market Ecology... | 07/11/2019

 
 
 
CA-OPC
 
 
 
 

News: Announcement: OPC publishes infographics for Canadians... | 07/12/2019

News: Announcement: Quebec, federal Privacy Commissioners investigate Desjar... | 07/08/2019

 
 
 
CA-OSFI
 
 
 
 

Agency Update: Advancing Proportionality: Tailoring Capital and Liquidity Requirement... | 07/11/2019

Agency Update: Advancing Proportionality: Tailoring Capital and Liquidity Requirement... | 07/11/2019

Agency Update: Advancing Proportionality: Tailoring Capital and Liquidity Requirement... | 07/11/2019

 
 
 
CFPB
 
 
 
 

News: Five myths in the military community about personal finance... | 07/11/2019

Comment: Debt Collection Practices (Regulation F); Public Submission; JOHN CEVA... | 07/09/2019

Comment: Debt Collection Practices (Regulation F); Public Submission; Vicki Kna... | 07/09/2019

Comment: Debt Collection Practices (Regulation F); Public Submission; Ivonne Ca... | 07/09/2019

Comment: Debt Collection Practices (Regulation F); Public Submission; Barbara G... | 07/09/2019

News: Consumer Financial Protection Bureau Settles Lawsuit Against Freedom D... | 07/09/2019

Notice: Fair Lending Report of the Bureau of Consumer Financial Protection, Ju... | 07/08/2019

 
 
 
CFTC
 
 
 
 

News: CFTC Orders ADM Investor Services Inc. to Pay a $250,000 Penalty to Se... | 07/12/2019

News: CFTC Orders Dean Katzelis and Shahin Maleki d/b/a Essex Futures to Pay... | 07/12/2019

News: CFTC Issues Order Finding that Korea Exchange, Inc. Made a False and M... | 07/12/2019

News: CFTC Orders Vision Financial Markets LLC to Pay a $200,000 Penalty to ... | 07/12/2019

News: CFTC Files and Settles Enforcement Actions Against Two Futures Commiss... | 07/12/2019

News: Federal Court Permanently Enjoins Defendants and Orders Them to Pay Pe... | 07/10/2019

Notice: Request for Nominations for the Climate-Related Market Risk Subcommitt... | 07/10/2019

Notice: Sunshine Act Meetings... | 07/08/2019

 
 
 
DOJ
 
 
 
 

Notice: Notice of Lodging of Proposed Consent Decree Under the Comprehensive E... | 07/09/2019

Notice: Notice of Lodging of Proposed Modification to Consent Decree Under the... | 07/09/2019

Notice: Agency Information Collection Activities; Proposed eCollection eCommen... | 07/08/2019

 
 
 
DOL
 
 
 
 

Notice: Agency Information Collection Activities; Submission for OMB Review; C... | 07/12/2019

Notice: Agency Information Collection Activities; Submission for OMB Review; C... | 07/12/2019

Notice: Agency Information Collection Activities; Submission for OMB Review; C... | 07/11/2019

Notice: Agency Information Collection Activities; Submission for OMB Review; C... | 07/11/2019

 
 
 
EOP
 
 
 
 

Presidential Document: Advancing American Kidney Health... | 07/15/2019

 
 
 
FDIC
 
 
 
 

Notice: FDIC Advisory Committee on Community Banking; Notice of Meeting... | 07/15/2019

Notice: Sunshine Act Meeting... | 07/12/2019

Notice: Agency Information Collection Activities: Proposed Collection Renewal;... | 07/12/2019

Notice: Agency Information Collection Activities: Proposed Collection Renewal;... | 07/12/2019

Notice: Notice of Termination of Receivership... | 07/11/2019

 
 
 
FINRA
 
 
 
 

Enforcement: Roman A. Corona... | 07/11/2019

Enforcement: BNP Paribas Securities Corp.... | 07/11/2019

News: FINRA Releases New Guidance on Credit for Extraordinary Cooperation... | 07/11/2019

Enforcement: NANCY KIMBALL MELLON... | 07/11/2019

Enforcement: Jeffrey Wade Lundstrom... | 07/10/2019

Enforcement: AWCs (Letters of Acceptance, Waiver, and Consent)... | 07/10/2019

Enforcement: Jonathon Hartwig... | 07/10/2019

Enforcement: Clearpool Execution Services, LLC... | 07/10/2019

Enforcement: Aegis Capital Corp.... | 07/10/2019

Enforcement: John Hardin Alexander... | 07/10/2019

 
 
 
FRS
 
 
 
 

Notice: Change in Bank Control Notices; Acquisitions of Shares of a Bank or Ba... | 07/15/2019

Notice: Formations of, Acquisitions by, and Mergers of Bank Holding Companies... | 07/15/2019

News: Agencies propose rule on the capital treatment of land development loa... | 07/12/2019

Notice: Solicitation of Statements of Interest for Membership on the Insurance... | 07/12/2019

News: Regulatory Capital Treatment of Certain Land Development Loans for the... | 07/12/2019

Notice: Agency Information Collection Activities: Announcement of Board Approv... | 07/12/2019

News: Perspectives on the Economy from Scranton - Governor Lael Brainard... | 07/11/2019

Notice: Formations of, Acquisitions by, and Mergers of Savings and Loan Holdin... | 07/10/2019

News: Semiannual Monetary Policy Report to the Congress - Chair Jerome H. Po... | 07/10/2019

News: Minutes of the Federal Open Market Committee, June 18-19, 2019... | 07/10/2019

 
 
 
FTC
 
 
 
 

News: Weekly Calendar for July 15, 2019... | 07/15/2019

Enforcement: Elegant Solutions, Inc. (Mission Hills Federal)... | 07/11/2019

Enforcement: Reckitt Benckiser Group PLC... | 07/11/2019

News: Closed Commission Meeting... | 07/10/2019

News: Weekly Calendar for July 8, 2019... | 07/08/2019

Enforcement: Vision Solution Marketing Refunds... | 07/08/2019

 
 
 
Fannie
 
 
 
 

News: Coming soon! Expense reimbursement dashboard enhancements... | 07/12/2019

News: Selling Notice in support of SOFR ARM framework... | 07/11/2019

News: Servicing Guide Updates... | 07/10/2019

News: Malloy Evans: Key Updates in Latest Servicing Announcement (July 10, 2... | 07/10/2019

News: Fannie Mae Modification Interest Rate Adjustment Update... | 07/08/2019

 
 
 
INT-BIS
 
 
 
 

Agency Update: Measuring contagion risk in international banking... | 07/15/2019

Agency Update: Unintended consequences of unemployment insurance benefits: the role o... | 07/11/2019

News: Alexandre Tombini to join the BIS as Chief Representative for the Amer... | 07/11/2019

Agency Update: Why have interest rates fallen far below the return on capital... | 07/09/2019

 
 
 
INT-EBA
 
 
 
 

News: EBA reports on the monitoring of the LCR implementation in the EU... | 07/12/2019

News: EBA welcomes publication by the European Court of Auditors of special ... | 07/10/2019

News: ESAs publish recommendations on the supervision of retail financial se... | 07/09/2019

News: EBA publishes report on progress made on its roadmap to repair IRB mod... | 07/09/2019

News: EBA assesses impact of FinTech on payment institutions' and e-money in... | 07/08/2019

 
 
 
INT-FSB
 
 
 
 

Agency Update: Cyber Incident Response and Recovery: Survey of Industry Practices... | 07/11/2019

Agency Update: Cyber Incident Response and Recovery: Survey of Industry Practices -- ... | 07/11/2019

News: Cyber Incident Response and Recovery: Survey of Industry Practices... | 07/11/2019

 
 
 
NCUA
 
 
 
 

Notice: Sunshine Act: Notice of Agency Meeting... | 07/15/2019

 
 
 
OCC
 
 
 
 

Notice: Information Collection Activities: Information Collection Renewal; Com... | 07/15/2019

News: OCC Allows National Banks and Federal Savings Associations Affected by... | 07/12/2019

News: Agencies Propose Rule on the Capital Treatment of Land Development Loa... | 07/12/2019

Notice: Agency Information Collection Activities: Information Collection Renew... | 07/09/2019

News: Agencies Simplify Regulatory Capital Rules... | 07/09/2019

News: Agencies Adopt Final Rule to Exclude Community Banks from the Volcker ... | 07/09/2019

Notice: Agency Information Collection Activities: Information Collection Renew... | 07/09/2019

 
 
 
OFAC
 
 
 
 

Notice: Notice of OFAC Sanctions Action... | 07/15/2019

Notice: Notice of OFAC Sanctions Actions... | 07/15/2019

Final Rule: Technical Amendments to North Korea Sanctions Regulations... | 07/11/2019

Financial Sanction: Venezuela-related Designation... | 07/11/2019

Financial Sanction: Counter Terrorism Designations... | 07/09/2019

 
 
 
RHS
 
 
 
 

Notice: Notice of Solicitation of Applications for Section 514 Farm Labor Hous... | 07/08/2019

 
 
 
SEC
 
 
 
 
 
 

Notice: Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and... | 07/15/2019

Notice: Self-Regulatory Organizations; BOX Exchange LLC; Notice of Filing and ... | 07/15/2019

Notice: Self-Regulatory Organizations; BOX Exchange LLC; Notice of Filing and ... | 07/15/2019

News: SEC Monitoring Impact of Tropical Storm Barry on Capital Markets... | 07/12/2019

Enforcement: Kwen Y. Chun... | 07/12/2019

Final Rule: Regulation Best Interest: The Broker-Dealer Standard of Conduct... | 07/12/2019

Notice: Self-Regulatory Organizations; Financial Industry Regulatory Authority... | 07/12/2019

Notice: Self-Regulatory Organizations; Long-Term Stock Exchange, Inc.; Notice ... | 07/12/2019

Final Rule: Commission Interpretation Regarding the Solely Incidental Prong of the... | 07/12/2019

Notice: Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Filing and I... | 07/12/2019

 
 
 
TREAS
 
 
 
 

Agency Update: U.S. Department of the Treasury... | 07/11/2019

Notice: Interest Rate Paid on Cash Deposited To Secure U.S. Immigration and Cu... | 07/09/2019

Agency Update: U.S. Department of the Treasury... | 07/09/2019

Agency Update: Treasury Targets Iranian-Backed Hizballah Officials for Exploiting Leb... | 07/09/2019

 
 
 
UK-BOE
 
 
 
 
 
 

News: =C2=A350 note character selection announcement - speech by Mark Carney... | 07/15/2019

News: Alan Turing to be the face of new =C2=A350 note... | 07/15/2019

Agency Update: Alan Turing to be the face of new =C2=A350 note -- Press release... | 07/15/2019

Agency Update: Alan Turing to be the face of new =C2=A350 note -- =C2=A350 note character selec... | 07/15/2019

Agency Update: Alan Turing to be the face of new =C2=A350 note... | 07/15/2019

Agency Update: Alan Turing to be the face of new =C2=A350 note -- Sign up to receive email... | 07/15/2019

News: Treasury Select Committee hearing on "IT failures in the financial ser... | 07/12/2019

Agency Update: Credit default swaps and corporate bond trading... | 07/12/2019

Agency Update: System-wide stress simulation... | 07/12/2019

News: Continuous improvements in communicating monetary policy - speech by G... | 07/12/2019

 
 
 
UK-FCA
 
 
 
 
 
 

Consultations Consultation papers: CP19/23: Signposting to travel insurance for consumers with medical co... | 07/15/2019

Consultations Consultation papers: CP19/23: Signposting to travel insurance for consumers with medical co... | 07/15/2019

News: Green Ash Partners LLP (clone of FCA authorised firm)... | 07/15/2019

News: Country Group Ltd... | 07/12/2019

News: Stanford Advisory... | 07/12/2019

News: Austin Finance (clone of firm)... | 07/12/2019

News: HSBC agrees to extend redress scheme for customers impacted by histori... | 07/11/2019

News: Redmayne Bentley (clone of authorised firm)... | 07/11/2019

News: Alternative Insurance Brokers (clone of authorised firm)... | 07/11/2019

News: Katsumi and Partners... | 07/11/2019

 
 
 
UK-HMT
 
 
 
 
 
 
 
 

Corporate Report: Financial Ombudsman Service annual report 2018 to 2019... | 07/15/2019

News Story: Criminals to face fresh crackdown in fight against dirty money... | 07/12/2019

Corporate Report: Financial Reporting Advisory Board annual report: 2018 to 2019... | 07/12/2019

Consultation Outcome: Capital Gains Tax: Private Residence Relief: changes to the ancillary ... | 07/11/2019

Policy Paper: Economic crime plan 2019 to 2022... | 07/11/2019

Consultation Outcome: Corporate Capital Loss Restriction: consultation on delivery... | 07/11/2019

Policy Paper: Off-payroll working rules from April 2020: Factsheet... | 07/11/2019

Transparency: Economic Crime Strategic Board minutes and agenda: January 2019... | 07/11/2019

News Story: Finance Bill 2019-20: government publishes draft legislation... | 07/11/2019

Consultation Outcome: Digital services tax: consultation... | 07/11/2019

 
 
 
UK-ICO
 
 
 
 

News: Speech: The future of online advertising regulation... | 07/11/2019

News: ICO publishes annual report covering an =E2=80=98unprecedented=E2=80=99 year... | 07/09/2019

News: Intention to fine Marriott International, Inc more than =C2=A399 million un... | 07/09/2019

News: Statement: Intention to fine Marriott International, Inc more than =C2=A399... | 07/09/2019

News: Blog: Live facial recognition technology - data protection law applies... | 07/09/2019

News: Intention to fine British Airways =C2=A3183.39m under GDPR for data breach... | 07/08/2019

News: ICO statement: Intention to fine British Airways =C2=A3183.39m under GDPR f... | 07/08/2019

 
 
 
UK-PRA
 
 
 
 

Letter: Letter from David Rule: Remuneration requirements - PRA findings and e... | 07/12/2019

Letter: Letter from David Rule: Remuneration requirements - PRA findings and e... | 07/12/2019

Note: PRA Conference for Chairs of Non-Systemic UK Banks and Building Societ... | 07/09/2019

 
 
 
VA
 
 
 
 

Notice: Agency Information Collection Activity Under OMB Review: Loan Service ... | 07/15/2019

Notice: National Research Advisory Council, Notice of Meeting... | 07/15/2019

Final Rule: Approval Criteria for Rates Charged for Community Residential Care... | 07/15/2019

Proposed Rule: Notice of Request for Information on Information and Documentation Req... | 07/09/2019

Notice: Solicitation of Nomination for Appointment to the Advisory Committee o... | 07/09/2019

 

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