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

-

FINRA enforcements increased 21% over the past 30 days

-

FTC issued enforcements: $8,726,254.27 over the past 30 days

-

165 Final Rules go into effect in the next 30 days

-

55 Mortgage Lending docs published in the last 7 days

-

5330 docs with 12540 extracted obligations from the last 7 days

-

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

-

11692 new docs in pro.compliance.ai within the last 7 days

-

Download the Q3 Enforcement eBook now!

-

Join us Feb 4th at Comply 2021

-

Agency Report July 13-20

 
 
CA-OSFI
 
 
 
 

Ruling: D=C3=A9cision du BSIF ayant valeur de pr=C3=A9c=C3=A9dent portant sur la comptabilisa… | 07/15/2020

Agency Update: D=C3=A9claration du BSIF – En faveur du recours aux r=C3=A9serves de fonds propr… | 07/15/2020

Ruling: D=C3=A9cision du BSIF ayant valeur de pr=C3=A9c=C3=A9dent portant sur la comptabilisa… | 07/15/2020

Ruling: OSFI Capital Ruling for Limited Recourse Capital Notes… | 07/15/2020

Ruling: OSFI Capital Ruling for Limited Recourse Capital Notes — Limited Reco… | 07/15/2020

Agency Update: OSFI statement supporting the use of capital buffers… | 07/15/2020

 
 
 
CFPB
 
 
 
 
 
 

Blog: Closing remarks: Consumer Financial Protection Week… | 07/17/2020

Blog: New report synthesizes evidence-based strategies to build emergency sa… | 07/17/2020

Press release: CFPB Takes Action to Help Employers Develop Emergency Savings Programs… | 07/17/2020

Report: Evidence-based strategies to build emergency savings… | 07/17/2020

Press release: CFPB Announces New Capability for the Consumer Complaint Database, Exp… | 07/17/2020

Report: July Complaint Bulletin: Complaints mentioning coronavirus keywords… | 07/16/2020

Press release: CFPB Releases Updated COVID-19 Consumer Complaint Data… | 07/16/2020

Enforcement Document: Townstone Financial, Inc. Complaint… | 07/15/2020

Press release: Consumer Financial Protection Bureau Releases Online Tool to Help Coll… | 07/15/2020

Press release: Consumer Financial Protection Bureau Files Suit Against Mortgage Credi… | 07/15/2020

 
 
 
CFTC
 
 
 
 
 
 

Notice: Agency Information Collection Activities: Notice of Intent To Extend C… | 07/20/2020

Notice: Agency Information Collection Activities: Notice of Intent To Extend C… | 07/17/2020

Enforcement: Complaint: The Alista Group, LLC, et al…. | 07/16/2020

News: CFTC Charges Georgia Company and Florida Residents with Precious Metal… | 07/16/2020

Proposed Rule: Regulation Automated Trading; Withdrawal… | 07/15/2020

Notice: Sunshine Act Meetings… | 07/15/2020

Proposed Rule: Electronic Trading Risk Principles… | 07/15/2020

News: CFTC Sanctions Two Firms Offering Digital Asset-Based Swaps for Illega… | 07/13/2020

Enforcement: Order: Plutus Financial, et al… | 07/13/2020

 
 
 
DOJ
 
 
 
 

Notice: Notice of Lodging Proposed Partial Consent Decree… | 07/20/2020

Notice: Notice of Lodging of Proposed Consent Decree Under the Comprehensive E… | 07/20/2020

Notice: Agency Information Collection Activities; Proposed Collection; Comment… | 07/17/2020

Agency Update: OVW Measuring Effectiveness of Grants =E2=80=93 Report to Congress… | 07/17/2020

Notice: Notice of Lodging of Proposed Consent Decree Under the Clean Water Act… | 07/17/2020

Notice: Notice of Lodging of Proposed Consent Decree Under The Resource Conser… | 07/16/2020

Notice: Agency Information Collection Activities; Proposed eCollection eCommen… | 07/16/2020

Notice: Agency Information Collection Activities; Proposed Collection Comments… | 07/16/2020

Notice: Notice of Lodging of Proposed Consent Decree Under the Resource Conser… | 07/15/2020

Notice: Agency Information Collection Activities; Proposed eCollection eCommen… | 07/15/2020

 
 
 
DOL
 
 
 
 

Notice: Agency Information Collection Activities; Submission for OMB Review; C… | 07/17/2020

Notice: Agency Information Collection Activities; Submission for OMB Review; C… | 07/17/2020

Notice: Agency Information Collection Activities; Submission for OMB Review; C… | 07/17/2020

Notice: Request for Information; Paid Leave… | 07/16/2020

 
 
 
EBSA
 
 
 
 

Proposed Rule: Grandfathered Group Health Plans and Grandfathered Group Health Insura… | 07/15/2020

News: U.S. Department of Labor Announces Appointments to Employee Retirement… | 07/14/2020

 
 
 
EOP
 
 
 
 

Notice: Appointment of Members of Senior Executive Service Performance Review … | 07/17/2020

Presidential Document: The President’s Executive Order on Hong Kong Normalization… | 07/17/2020

Presidential Document: White House Hispanic Prosperity Initiative… | 07/14/2020

 
 
 
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

 
 
 
FINCEN
 
 
 
 

News: FinCEN Alerts Financial Institutions to Convertible Virtual Currency S… | 07/16/2020

News: Financial Crimes Enforcement Network Alerts Financial Institutions to … | 07/16/2020

News: Financial Crimes Enforcement Network Alerts Financial Institutions to … | 07/16/2020

 
 
 
FINRA
 
 
 
 

Notice: Self-Regulatory Organizations; Financial Industry Regulatory Authority… | 07/17/2020

Notices: Information Notice – 7/17/20 Consolidated Audit Trail: Industry Presen… | 07/17/2020

Notices: Regulatory Notice 20-24 FINRA Requests Comment on Proposed Changes to … | 07/16/2020

AWCs (Letters of Acceptance, Waiver, and Consent): Citadel Securities LLC AWCs (Letters of Acceptance, Waiver, and Consen… | 07/16/2020

AWCs (Letters of Acceptance, Waiver, and Consent): Robert Patton Stansberry AWCs (Letters of Acceptance, Waiver, and Cons… | 07/16/2020

AWCs (Letters of Acceptance, Waiver, and Consent): Zahir H. Kanji AWCs (Letters of Acceptance, Waiver, and Consent)… | 07/15/2020

AWCs (Letters of Acceptance, Waiver, and Consent): Jean Connell Hicks AWCs (Letters of Acceptance, Waiver, and Consent)… | 07/14/2020

AWCs (Letters of Acceptance, Waiver, and Consent): Dawn Hare AWCs (Letters of Acceptance, Waiver, and Consent)… | 07/13/2020

 
 
 
FRS
 
 
 
 
 
 

Press Release: Federal Reserve Board modifies Main Street Lending Program to provide … | 07/17/2020

Press Release: Nonprofit Organization Expanded Loan Facility Term Sheet (PDF) – Feder… | 07/17/2020

Notice: Change in Bank Control Notices; Acquisitions of Shares of a Bank or Ba… | 07/17/2020

Press Release: Nonprofit Organization New Loan Facility Term Sheet (PDF) – Federal Re… | 07/17/2020

Final Rule: Loans to Executive Officers, Directors, and Principal Shareholders of … | 07/16/2020

Notice: Change in Bank Control Notices; Acquisitions of Shares of a Bank or Ba… | 07/16/2020

Notice: Agency Information Collection Activities: Announcement of Board Approv… | 07/16/2020

Press Release: Federal Reserve Board announces extension of rule change to bolster ef… | 07/15/2020

Press Release: Federal Register notice (PDF) – Federal Reserve Board announces extens… | 07/15/2020

Press Release: National College Fed Challenge to be held in a virtual format in 2020… | 07/15/2020

 
 
 
FTC
 
 
 
 
 
 

Event: PrivacyCon 2020 — Speaker Bios (212.09 KB)… | 07/17/2020

Event: PrivacyCon 2020 — Download the Agenda (250.9 KB)… | 07/17/2020

Event: PrivacyCon 2020 — “Did You Know this Camera Tracks Your Mood?”: Model… | 07/17/2020

Event: Working Together to Serve Diverse Communities: A Virtual Resource Fair… | 07/17/2020

Event: Working Together to Serve Diverse Communities: A Virtual Resource Fair… | 07/17/2020

Event: Working Together to Serve Diverse Communities: A Virtual Resource Fair… | 07/17/2020

Consumer Alert: American Student Loan Consolidators Refunds… | 07/17/2020

Consumer Alert: Helping America Group Refunds… | 07/17/2020

Consumer Alert: Corporate Compliance Services Refunds… | 07/17/2020

News: FTC Sends More Than $1 Million in Refunds to Victims of Labor Law Post… | 07/16/2020

 
 
 
Freddie
 
 
 
 

Bulletin: Bulletin 2020-29 Servicing… | 07/15/2020

Bulletin: Bulletin 2020-28 Eligible Disasters and other Servicing Guidance Relat… | 07/15/2020

 
 
 
INT-EC
 
 
 
 

News: Coronavirus Response: Commission welcomes ‘Best Practices’ to provide … | 07/14/2020

 
 
 
INT-FATF
 
 
 
 

Publication: FATF Focus on COVID-19… | 07/17/2020

 
 
 
INT-FSB
 
 
 
 

Agency Update: FSB Chair’s letter to G20 Finance Ministers and Central Bank Governors… | 07/15/2020

News: FSB sets out action to maintain financial stability during COVID… | 07/15/2020

Agency Update: COVID-19 pandemic: Financial stability implications and policy measure… | 07/15/2020

Agency Update: COVID-19 pandemic: Financial stability implications and policy measure… | 07/15/2020

Agency Update: FSB Chair’s letter to G20 Finance Ministers and Central Bank Governors… | 07/15/2020

Agency Update: Building blocks for a roadmap to enhance cross-border payments: letter… | 07/13/2020

Agency Update: Building blocks for a roadmap to enhance cross-border payments: letter… | 07/13/2020

News: FSB welcomes CPMI report on enhancing cross-border payments… | 07/13/2020

 
 
 
OCC
 
 
 
 

Final Rule: Other Real Estate Owned and Technical Amendments… | 07/17/2020

News Release: News Release 2020-96… | 07/17/2020

News Release: News Release 2020-95… | 07/16/2020

News Release: News Release 2020-94… | 07/15/2020

Notice: Mutual Savings Association Advisory Committee… | 07/15/2020

News Release: News Release 2020-92… | 07/15/2020

News Release: News Release 2020-91… | 07/15/2020

Notice: Mutual Savings Association Advisory Committee and Minority Depository … | 07/15/2020

News Release: News Release 2020-93… | 07/15/2020

Notice: Minority Depository Institutions Advisory Committee… | 07/15/2020

 
 
 
OFAC
 
 
 
 
 
 

Final Rule: Nicaragua Sanctions Regulations… | 07/17/2020

Financial Sanction: Counter Narcotics Designations; Counter Narcotics Designations Removal… | 07/17/2020

Financial Sanction: Amendment of Nicaragua Sanctions Regulations; Amendment of Ukraine-rel… | 07/16/2020

Financial Sanction: Settlement Agreement between the U.S. Department of the Treasury’s Off… | 07/16/2020

Financial Sanction: Cyber-related Designations; Foreign Interference in U.S. Election Desi… | 07/15/2020

Press Release: Cyber-related Designations; Foreign Interference in U.S. Election Desi… | 07/15/2020

Notice: Notice of OFAC Sanctions Actions… | 07/15/2020

Financial Sanction: Issuance of Venezuela-related General License 5D and Amended Frequentl… | 07/15/2020

 
 
 
RHS
 
 
 
 

Final Rule: OneRD Guaranteed Loan Regulation… | 07/14/2020

 
 
 
SEC
 
 
 
 
 
 
 
 

Notice: Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Fili… | 07/20/2020

Notice: Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and I… | 07/20/2020

Notice: Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Fil… | 07/20/2020

Notice: Self-Regulatory Organizations; BOX Exchange LLC; Notice of Filing and … | 07/20/2020

Notice: Self-Regulatory Organizations; Miami International Securities Exchange… | 07/20/2020

Notice: Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing a… | 07/20/2020

Notice: Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing o… | 07/20/2020

Notice: Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Pr… | 07/20/2020

Notice: Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of … | 07/20/2020

Notice: Submission for OMB Review; Comment Request… | 07/20/2020

 
 
 
TREAS
 
 
 
 

Notice: Debt Management Advisory Committee Meeting… | 07/20/2020

Notice: List of Countries Requiring Cooperation With an International Boycott… | 07/20/2020

News: U.S. Department of the Treasury… | 07/17/2020

News: U.S. Department of the Treasury… | 07/17/2020

News: U.S. Department of the Treasury… | 07/17/2020

News: U.S. Department of the Treasury… | 07/17/2020

News: U.S. Department of the Treasury… | 07/17/2020

News: U.S. Department of the Treasury… | 07/16/2020

Notice: Agency Information Collection Activities; Proposed Collection; Comment… | 07/16/2020

News: U.S. Department of the Treasury… | 07/15/2020

 
 
 
UK-BOE
 
 
 
 

News Release: Learning about money and financial literacy needs jokes and games say … | 07/16/2020

News Release: Learning about money and financial literacy needs jokes and games say … | 07/16/2020

News Release: Learning about money and financial literacy needs jokes and games say … | 07/16/2020

Museum: Creative workshop: brilliant banknotes… | 07/15/2020

Agency Update: Statistical Notice 2020/06… | 07/14/2020

 
 
 
UK-FCA
 
 
 
 
 
 
 
 
 
 

News: Renewable Bonds… | 07/17/2020

News: UK Bond St… | 07/17/2020

Corporate documents: Business interruption insurance test case: agreed facts document 9… | 07/17/2020

Corporate documents: Business interruption insurance test case: agreed facts document 8… | 07/17/2020

Corporate documents: Business interruption insurance test case: Assumed Facts… | 07/17/2020

Publication: CP20/10: Extending implementation deadlines for the Certification Regi… | 07/17/2020

Consultation papers: CP20/10: Extending implementation deadlines for the Certification Regi… | 07/17/2020

News: FCA seeks views on extending the implementation deadlines for the Cert… | 07/17/2020

Corporate documents: Business interruption insurance test case: agreed facts document 6… | 07/17/2020

Corporate documents: Business interruption insurance test case: agreed facts document 10… | 07/17/2020

 
 
 
UK-HMT
 
 
 
 
 
 
 
 

Policy Paper: Independent Fintech Strategic Review: terms of reference… | 07/20/2020

News Story: Review launched to boost UK Fintech sector… | 07/20/2020

National Statistics: Public Expenditure Statistical Analyses 2020… | 07/17/2020

National Statistics: Public Spending Statistics release: July 2020… | 07/17/2020

News Story: HM Treasury announces update to 2020-21 government financing targets… | 07/16/2020

Guidance: HMT statement on applicability of Covid-19 related amendments to Capit… | 07/16/2020

Open Consultation: Public service pension schemes consultation: changes to the transition… | 07/16/2020

Open Consultation: Consultation on updating the UK’s Prudential Regime before the end of … | 07/16/2020

Official Statistics: Forecasts for the UK economy: July 2020… | 07/15/2020

Corporate Report: PWLB Annual Report and Accounts 2019 to 2020… | 07/15/2020

 
 
 
UK-LSB
 
 
 
 

News: Review of the CRM Code… | 07/15/2020

 
 
 
UK-PRA
 
 
 
 

Notes: PRA Annual Conference for Chairs of the Non-Systemic UK Banks and Buil… | 07/17/2020

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

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

 
 
 
VA
 
 
 
 

Notice: Agency Information Collection Activity: Freedom of Information Act (FO… | 07/16/2020

Final Rule: Update To Access Standards Drive Time Calculations… | 07/15/2020

Notice: Agency Information Collection Activity: Program of Comprehensive Assis… | 07/15/2020

Notice: Agency Information Collection Activity Under OMB Review: Time Record (… | 07/14/2020

Notice: Agency Information Collection Activity Under OMB Review: Certificate o… | 07/14/2020

 

X