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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