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

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FTC enforcements decreased 107% over the past 30 days

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OFAC issued enforcements: $752,177.00 over the past 30 days

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102 Final Rules go into effect in the next 30 days

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76 Mortgage Lending docs published in the last 7 days

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4929 docs with 12492 extracted obligations from the last 7 days

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

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12943 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

-

 
 
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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