Regulatory Agency Updates | Week of July 15 to July 22

Regulatory Agency Updates | Week of July 15 - July 23

 
 
CA-OPC
 
 
 
 

News: Announcement: OPC=E2=80=99s ATIP Annual Reports 2018-19 tabled in Parliament... | 07/18/2019

News: Announcement: Video introduction to PIPEDA for your business... | 07/15/2019

Agency Update: Introduction to PIPEDA for your business... | 07/15/2019

 
 
 
CA-OSFI
 
 
 
 

Letter: Proposed changes to the Guideline B-6 - Liquidity Principles... | 07/18/2019

Letter: Proposed changes to the Guideline B-6 - Liquidity Principles -- Guidel... | 07/18/2019

Letter: Use of the Advanced Measurement Approach for Operational Risk Capital... | 07/18/2019

Letter: Use of the Advanced Measurement Approach for Operational Risk Capital... | 07/18/2019

Letter: Proposed changes to the Guideline B-6 - Liquidity Principles -- Guidel... | 07/18/2019

 
 
 
CFPB
 
 
 
 

Notice: Agency Information Collection Activities: Submission for OMB Review; C... | 07/22/2019

News: CFPB, FTC and States Announce Settlement with Equifax Over 2017 Data B... | 07/22/2019

News: A report on the Bureau=E2=80=99s Building a Bridge to Credit Visibility Sympos... | 07/19/2019

News: Kathleen L. Kraninger's Speech at the Exchequer Club... | 07/18/2019

News: Consumer Financial Protection Bureau Releases Report on Third-Party De... | 07/18/2019

News: Consumer Financial Protection Bureau Recommends Financial Institutions... | 07/17/2019

News: C=C3=B3mo reducir su deuda... | 07/16/2019

 
 
 
CFTC
 
 
 
 
 
 

Final Rule: Revisions to Prohibitions and Restrictions on Proprietary Trading and ... | 07/22/2019

Notice: Agency Information Collection Activities: Notice of Intent To Renew Co... | 07/22/2019

Proposed Rule: Registration With Alternative Compliance for Non-U.S. Derivatives Clea... | 07/19/2019

News: Federal Court Orders Defendant to Pay More Than $2.9 Million in Connec... | 07/19/2019

News: CFTC Orders Former Hedge Fund Portfolio Manager to Pay More than $700,... | 07/18/2019

 
 
 
DOJ
 
 
 
 

Notice: Notice of Lodging of Proposed Settlement Agreement Resolving Proofs of... | 07/19/2019

Notice: Agency Information Collection Activities; Proposed eCollection eCommen... | 07/19/2019

Agency Update: U.S. Attorney General William Barr and Egyptian Prosecutor General Nab... | 07/18/2019

Notice: Notice of Lodging of Proposed Consent Decree Under the Clean Air Act... | 07/16/2019

 
 
 
DOL
 
 
 
 

Notice: Agency Information Collection Activities; Submission for OMB Review; C... | 07/19/2019

 
 
 
EBSA
 
 
 
 

Notice: Proposed Exemption From Certain Prohibited Transaction Restrictions Cr... | 07/16/2019

 
 
 
EOP
 
 
 
 

Presidential Document: Death of John Paul Stevens... | 07/22/2019

Presidential Document: Maximizing Use of American-Made Goods, Products, and Materials... | 07/18/2019

Notice: Paperwork Reduction Act; Proposed Collection; Comment Request... | 07/18/2019

Presidential Document: Made in America Day and Made in America Week, 2019... | 07/18/2019

Presidential Document: Collecting Information About Citizenship Status in Connection With the... | 07/16/2019

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

 
 
 
FDIC
 
 
 
 

Final Rule: Revisions to Prohibitions and Restrictions on Proprietary Trading and ... | 07/22/2019

Notice: Privacy Act of 1974; System of Records... | 07/22/2019

Final Rule: Regulatory Capital Rule: Simplifications to the Capital Rule Pursuant ... | 07/22/2019

Final Rule: Joint Ownership Deposit Accounts... | 07/22/2019

Notice: Sunshine Act Meeting... | 07/18/2019

News: Statement by Martin J. Gruenberg, Member, FDIC Board of Directors, Fin... | 07/16/2019

News: Statement of Jelena McWilliams, Chairman, Federal Deposit Insurance Co... | 07/16/2019

News: Statement of Jelena McWilliams, Chairman, Federal Deposit Insurance Co... | 07/16/2019

Notice: Agency Information Collection Activities: Proposed Collection Renewal;... | 07/16/2019

News: Statement by Martin J. Gruenberg, Member, FDIC Board of Directors, Not... | 07/16/2019

 
 
 
FINCEN
 
 
 
 

News: Statement by FinCEN Director Kenneth A. Blanco in Support of Yesterday... | 07/19/2019

News: =E2=80=8B=E2=80=8B=E2=80=8B=E2=80=8B=E2=80=8B=E2=80=8B=E2=80=8BFinCEN Exchange Forum Counters Business Email Compromise Scams... | 07/16/2019

News: Financial Trend Analysis: Manufacturing and Construction Top Targets f... | 07/16/2019

 
 
 
FINRA
 
 
 
 

Enforcement: David Wilson Fleming... | 07/18/2019

Enforcement: Eric Savell... | 07/18/2019

Enforcement: Thomas John Marino... | 07/18/2019

Enforcement: Robert Juan Escobio... | 07/17/2019

News: FINRA Announces Final Results of Mutual Fund Waiver Initiative... | 07/17/2019

Enforcement: Western International Securities, Inc.... | 07/16/2019

Enforcement: Park Avenue Securities LLC... | 07/16/2019

Enforcement: Cindy Maria Fuzie... | 07/15/2019

Enforcement: Samuel K. Van Allen... | 07/15/2019

 
 
 
FRS
 
 
 
 

Final Rule: Revisions to Prohibitions and Restrictions on Proprietary Trading and ... | 07/22/2019

Final Rule: Regulatory Capital Rule: Simplifications to the Capital Rule Pursuant ... | 07/22/2019

Notice: Agency Information Collection Activities: Announcement of Board Approv... | 07/19/2019

Notice: Proposed Agency Information Collection Activities; Comment Request... | 07/19/2019

Notice: Formations of, Acquisitions by, and Mergers of Bank Holding Companies... | 07/19/2019

Notice: Agency Information Collection Activities: Announcement of Board Approv... | 07/18/2019

Notice: Agency Information Collection Activities: Announcement of Board Approv... | 07/18/2019

Notice: Formations of, Acquisitions by, and Mergers of Bank Holding Companies... | 07/18/2019

News: Federal bank regulatory agencies announce coordination of reviews for ... | 07/17/2019

News: Statement regarding Treatment of Certain Foreign Funds under the Rules... | 07/17/2019

 
 
 
FTC
 
 
 
 

News: Oral Argument Before Commission: Otto Bock... | 07/22/2019

News: Oral Argument Before Commission: Otto Bock... | 07/22/2019

News: Weekly Calendar for July 22, 2019... | 07/22/2019

Enforcement: Lighting X-Change Refunds... | 07/18/2019

News: The Future of the COPPA Rule: An FTC Workshop... | 07/17/2019

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

Enforcement: Gerber Products Co., doing business as Nestl=C3=A9 Nutrition, et al.... | 07/15/2019

Enforcement: Gerber Products Co., doing business as Nestl=C3=A9 Nutrition, et al.... | 07/15/2019

 
 
 
INT-BIS
 
 
 
 

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

 
 
 
INT-EBA
 
 
 
 

News: EBA updates on monitoring of CET1 capital instruments... | 07/22/2019

News: EBA publishes Report on regulatory perimeter, regulatory status and au... | 07/18/2019

News: EBA publishes roadmap on IFRS 9 deliverables and launches IFRS 9 bench... | 07/18/2019

News: EBA publishes updated ITS package for 2020 benchmarking exercise... | 07/16/2019

News: EBA amends implementing technical standards on supervisory reporting w... | 07/16/2019

 
 
 
INT-FSB
 
 
 
 

News: FSB adjusts implementation timelines for its policy recommendations to... | 07/19/2019

Agency Update: Regulatory framework for haircuts on non-centrally cleared securities ... | 07/19/2019

Agency Update: Regulatory framework for haircuts on non-centrally cleared securities ... | 07/19/2019

Agency Update: Regulatory framework for haircuts on non-centrally cleared securities ... | 07/19/2019

 
 
 
NCUA
 
 
 
 

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

 
 
 
OCC
 
 
 
 

Final Rule: Revisions to Prohibitions and Restrictions on Proprietary Trading and ... | 07/22/2019

Final Rule: Regulatory Capital Rule: Simplifications to the Capital Rule Pursuant ... | 07/22/2019

News: OCC Enforcement Actions and Terminations... | 07/18/2019

News: Federal Bank Regulatory Agencies Announce Coordination of Reviews for ... | 07/17/2019

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

 
 
 
OFAC
 
 
 
 

Notice: Notice of OFAC Sanctions Action... | 07/22/2019

Press Release: Counter Terrorism Designation - -- Treasury Targets Senior Hizballah O... | 07/19/2019

Financial Sanction: Venezuela-related Designations... | 07/19/2019

Financial Sanction: Counter Terrorism Designation... | 07/19/2019

Financial Sanction: Counter Terrorism Designation -... | 07/19/2019

Financial Sanction: Global Magnitsky Designations -... | 07/18/2019

Press Release: Global Magnitsky Designations - -- Treasury Sanctions Persons Associat... | 07/18/2019

Financial Sanction: Global Magnitsky Designations... | 07/18/2019

Financial Sanction: Iran-related Designations; Non-proliferation Designations -... | 07/18/2019

Press Release: Iran-related Designations; Non-proliferation Designations - -- Treasur... | 07/18/2019

 
 
 
RHS
 
 
 
 

Final Rule: Single Family Housing Guaranteed Loan Program... | 07/22/2019

 
 
 
SEC
 
 
 
 
 
 

Notice: Proposed Collection; Comment Request... | 07/22/2019

Notice: Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and... | 07/22/2019

Final Rule: Revisions to Prohibitions and Restrictions on Proprietary Trading and ... | 07/22/2019

Notice: Proposed Collection; Comment Request... | 07/22/2019

Notice: Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing o... | 07/22/2019

Enforcement: Microsoft Corporation... | 07/22/2019

Notice: Proposed Collection; Comment Request... | 07/22/2019

Notice: Proposed Collection; Comment Request... | 07/22/2019

Notice: Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of ... | 07/22/2019

Notice: Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and I... | 07/22/2019

 
 
 
TREAS
 
 
 
 

Agency Update: U.S. Department of the Treasury... | 07/19/2019

Agency Update: U.S. Department of the Treasury... | 07/18/2019

Agency Update: U.S. Department of the Treasury... | 07/17/2019

Agency Update: U.S. Department of the Treasury... | 07/17/2019

Agency Update: U.S. Department of the Treasury... | 07/16/2019

Notice: Departmental Offices; Debt Management Advisory Committee Meeting... | 07/16/2019

Agency Update: White House Press Briefing by Treasury Secretary Steven Mnuchin on Reg... | 07/15/2019

Agency Update: U.S. Department of the Treasury... | 07/15/2019

Agency Update: U.S. Department of the Treasury... | 07/15/2019

Agency Update: U.S. Department of the Treasury... | 07/15/2019

 
 
 
UK-BOE
 
 
 
 
 
 

Agency Update: Revisiting the global decline of the (non-housing) labor share... | 07/19/2019

Working Paper: Revisiting the global decline of the (non-housing) labor share -- Revi... | 07/19/2019

Working Paper: Revisiting the global decline of the (non-housing) labor share -- Sign... | 07/19/2019

Working Paper: Revisiting the global decline of the (non-housing) labor share... | 07/19/2019

Agency Update: Bank of England Weekly Report 17 July 2019... | 07/18/2019

News: Minutes of the Meeting of the Court of Directors held on 21 May 2019... | 07/18/2019

Agency Update: Bank Liabilities Survey - 2019 Q2... | 07/18/2019

Agency Update: Credit Conditions Survey - 2019 Q2... | 07/18/2019

Minutes: Minutes of the Meeting of the Court of Directors held on 21 May 2019 -... | 07/18/2019

Weekly report: Bank of England Weekly Report 17 July 2019... | 07/18/2019

 
 
 
UK-FCA
 
 
 
 
 
 

News: James and Jenkins Consulting Group... | 07/19/2019

News: UK Financial Management Ltd... | 07/19/2019

News: Ralf Werner Tait Capital (clone of FCA authorised firm)... | 07/18/2019

Memorandums of understanding: Memorandum of Understanding between the FCA and Bank of England... | 07/18/2019

Corporate documents: The Financial Conduct Authority's response to the Annual Report 2018-1... | 07/18/2019

News: FCA Statement on the MoU with the Bank of England... | 07/18/2019

News: Andrew Bailey speech at the Annual Public Meeting 2019... | 07/17/2019

News: BNF Capital Limited (clone of authorised firm)... | 07/17/2019

News: Charles Randell speech at the Annual Public Meeting 2019... | 07/17/2019

News: The Money Supermarket (clone of authorised firm)... | 07/17/2019

 
 
 
UK-HMT
 
 
 
 
 
 
 
 

News Story: Almost a million public sector workers handed a second year of inflati... | 07/22/2019

Guidance: Guidance for tax assurance process of public sector appointees... | 07/22/2019

News Story: Review into the financial services regulatory framework launched... | 07/19/2019

Open Consultation: Financial Services Future Regulatory Framework Review... | 07/19/2019

National Statistics: Public Spending Statistics release: July 2019... | 07/18/2019

News Story: Scottish Income Tax shortfall offset by UK Funding... | 07/18/2019

Corporate Report: National Loans Fund account 2018 to 2019... | 07/18/2019

News Story: Women in Finance Charter continues to drive change at highest level... | 07/18/2019

Corporate Report: Consolidated Fund account 2018 to 2019... | 07/18/2019

Transparency: Infrastructure and Projects Authority annual report 2019... | 07/18/2019

 
 
 
UK-ICO
 
 
 
 

News: Estate agency fined =C2=A380,000 for failing to keep tenants=E2=80=99 data safe... | 07/19/2019

Monetary penalties: Life at Parliament View Limited -- Life at Parliament View Limited mon... | 07/19/2019

Monetary penalties: Life at Parliament View Limited... | 07/19/2019

News: Former motor industry worker ordered to pay =C2=A325,500 from proceeds of d... | 07/17/2019

 
 
 
UK-JMLSG
 
 
 
 

Agency Update: JMLSG thanks all who responded to the public consultation on sectors 4... | 07/18/2019

 
 
 
UK-LSB
 
 
 
 

News: Standards of Lending Practice for business customers extended to prote... | 07/15/2019

News: Standards of Lending Practice for business customers extended to prote... | 07/15/2019

 
 
 
UK-PRA
 
 
 
 

Consultation paper: Solvency II: Group availability of subordinated liabilities and prefer... | 07/22/2019

Consultation paper: Solvency II: Group availability of subordinated liabilities and prefer... | 07/22/2019

Consultation paper: Large exposures: Reciprocation of French measure - Consultation Paper ... | 07/16/2019

Consultation paper: Large exposures: Reciprocation of French measure... | 07/16/2019

 
 
 
VA
 
 
 
 

Notice: Agency Information Collection Activity: Expanded Access to Non-VA Care... | 07/22/2019

Final Rule: VA Claims and Appeals Modernization... | 07/19/2019

Notice: Agency Information Collection Activity Under OMB Review: Application f... | 07/18/2019

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

 

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