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

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OFAC enforcements increased 50% over the past 30 days

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SEC issued enforcements: $88,633,075.00 over the past 30 days

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123 Final Rules go into effect in the next 30 days

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46 Mortgage Lending docs published in the last 7 days

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149 docs with 7429 extracted obligations from the last 7 days

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

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8506 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

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Agency Report July 27 - Aug 03

 
 
CFPB
 
 
 
 
 
 

Blog: Expanding access to credit to underserved communities… | 07/31/2020

Blog: Empowering military consumers-all year long… | 07/31/2020

Speech: Oral Testimony of Director Kraninger Before the House Financial Servic… | 07/30/2020

Testimony: Statement of Director Kathleen L. Kraninger Before the Senate Committe… | 07/29/2020

Speech: Oral Testimony of Director Kraninger Before the Senate Banking Committ… | 07/29/2020

Blog: The Bureau is taking action to build a more inclusive financial system… | 07/28/2020

Press release: Consumer Financial Protection Bureau Requests Information on Ways to P… | 07/28/2020

 
 
 
CFTC
 
 
 
 

Final Rule: Prohibitions and Restrictions on Proprietary Trading and Certain Inter… | 07/31/2020

News: CFTC Awards Approximately $9 Million to Whistleblower… | 07/27/2020

 
 
 
DOJ
 
 
 
 

Notice: Agency Information Collection Activities; Proposed eCollection eCommen… | 07/30/2020

Notice: Agency Information Collection Activities; Proposed eCollection eCommen… | 07/30/2020

Notice: Agency Information Collection Activities; Proposed eCollection eCommen… | 07/30/2020

Notice: Agency Information Collection Activities; Proposed eCollection eCommen… | 07/29/2020

Notice: Notice of Lodging of Proposed Consent Decree Under the Clean Water Act… | 07/28/2020

Notice: Agency Information Collection Activities; Proposed eCollection eCommen… | 07/27/2020

Agency Update: New York Times Op-Ed: The Federal Death Penalty Can Be Administered Fa… | 07/27/2020

 
 
 
DOL
 
 
 
 

Notice: All Items Consumer Price Index for All Urban Consumers; United States … | 07/29/2020

Notice: All Items Consumer Price Index for All Urban Consumers; United States … | 07/29/2020

 
 
 
EBSA
 
 
 
 

News: U.S. Department of Labor Obtains Default Judgment Requiring Defunct Vi… | 07/30/2020

News: Federal Court Orders Millions Restored to Connecticut Health and Retir… | 07/28/2020

 
 
 
EOP
 
 
 
 

Presidential Document: Continuation of the National Emergency With Respect to Lebanon… | 07/30/2020

Presidential Document: National Korean War Veterans Armistice Day, 2020… | 07/29/2020

Presidential Document: Continuation of U.S. Drug Interdiction Assistance to the Government of… | 07/29/2020

Presidential Document: Increasing Drug Importation To Lower Prices for American Patients… | 07/29/2020

Presidential Document: Delegation of Authority Under the Better Utilization of Investments Le… | 07/29/2020

Presidential Document: Anniversary of the Americans With Disabilities Act, 2020… | 07/29/2020

Presidential Document: Access to Affordable Life-Saving Medications… | 07/29/2020

Presidential Document: Lowering Prices for Patients by Eliminating Kickbacks to Middlemen… | 07/29/2020

 
 
 
FDIC
 
 
 
 

Final Rule: Prohibitions and Restrictions on Proprietary Trading and Certain Inter… | 07/31/2020

Notice: Agency Information Collection Activities: Proposed Collection Renewal;… | 07/29/2020

Notice: Agency Information Collection Activities: Proposed Collection Renewal;… | 07/28/2020

 
 
 
FFIEC
 
 
 
 

Notice: Appraisal Subcommittee; Notice of Meeting… | 07/29/2020

 
 
 
FINCEN
 
 
 
 

Agency Update: FIN-2020-A005… | 07/30/2020

 
 
 
FINRA
 
 
 
 

AWCs (Letters of Acceptance, Waiver, and Consent): Keith Gaines Drago, Sr. AWCs (Letters of Acceptance, Waiver, and Conse… | 07/31/2020

AWCs (Letters of Acceptance, Waiver, and Consent): Christopher Duke Bennett AWCs (Letters of Acceptance, Waiver, and Cons… | 07/31/2020

AWCs (Letters of Acceptance, Waiver, and Consent): CIM Securities, LLC AWCs (Letters of Acceptance, Waiver, and Consent)… | 07/30/2020

AWCs (Letters of Acceptance, Waiver, and Consent): BNP Paribas Securities Corp. AWCs (Letters of Acceptance, Waiver, and … | 07/30/2020

Complaints: Ronald G. Richer Complaints… | 07/30/2020

Notice: Self-Regulatory Organizations; Financial Industry Regulatory Authority… | 07/29/2020

AWCs (Letters of Acceptance, Waiver, and Consent): Hilltop Securities, Inc. AWCs (Letters of Acceptance, Waiver, and Cons… | 07/28/2020

AWCs (Letters of Acceptance, Waiver, and Consent): Stanley B. Secor AWCs (Letters of Acceptance, Waiver, and Consent)… | 07/28/2020

AWCs (Letters of Acceptance, Waiver, and Consent): J K R & Company, Inc. AWCs (Letters of Acceptance, Waiver, and Consent… | 07/27/2020

AWCs (Letters of Acceptance, Waiver, and Consent): BNP Paribas Securities Corp. AWCs (Letters of Acceptance, Waiver, and … | 07/27/2020

 
 
 
FRS
 
 
 
 

Final Rule: Prohibitions and Restrictions on Proprietary Trading and Certain Inter… | 07/31/2020

Press Release: Implementation Note issued July 29, 2020 – Federal Reserve issues FOMC… | 07/29/2020

Notice: Change in Bank Control Notices; Acquisitions of Shares of a Bank or Ba… | 07/29/2020

Press Release: Federal Reserve issues FOMC statement… | 07/29/2020

Notice: Formations of, Acquisitions by, and Mergers of Bank Holding Companies… | 07/29/2020

Press Release: Federal Reserve Board announces the extensions of its temporary U.S. d… | 07/29/2020

Press Release: Secondary Market Corporate Credit Facility Term Sheet (PDF) – Federal … | 07/28/2020

Press Release: Main Street Priority Loan Facility Term Sheet (PDF) – Federal Reserve … | 07/28/2020

Press Release: Paycheck Protection Program Liquidity Facility Term Sheet (PDF) – Fede… | 07/28/2020

Press Release: Nonprofit Organization Expanded Loan Facility Term Sheet (PDF) – Feder… | 07/28/2020

 
 
 
FTC
 
 
 
 
 
 

Enforcement: deceptive/misleading conduct
Complaint for Permanent Injunction and Ot… | 07/31/2020

News: FTC Sues California Marketer of $23,000 COVID-19 “Treatment” Plan… | 07/31/2020

Event: Cmr. Chopra keynote remarks on Income Share Agreements and Fair Lendin… | 07/30/2020

News: FTC Announces Staff Reports on Car Buying and Financing Experience, Re… | 07/30/2020

Complaint: Complaint for Permanent Injunction and Other Equitable Relief (6.19 MB… | 07/29/2020

Enforcement: Consumer Protection
Complaint for Permanent Injunction and Other Equit… | 07/29/2020

Enforcement: deceptive/misleading conduct
Complaint for Permanent Injunction and Ot… | 07/29/2020

Enforcement: Construction
Complaint for Permanent Injunction and Other Equitable Re… | 07/29/2020

Complaint: Complaint for Permanent Injunction and Other Equitable Relief (236.06 … | 07/29/2020

Enforcement: Consumer Protection
Complaint for Permanent Injunction and Other Equit… | 07/29/2020

 
 
 
Freddie
 
 
 
 

Bulletin: Bulletin 2020-30 Extension of Temporary Requirements For Purchase of M… | 07/31/2020

 
 
 
INT-EC
 
 
 
 

News: The Commission is inviting applications with a view to selecting membe… | 07/30/2020

News: The Commission is inviting applications with a view to selecting membe… | 07/30/2020

News: The Commission publishes a feasibility study for the creation of a CMU… | 07/29/2020

 
 
 
INT-FATF
 
 
 
 

Publication: FATF Webinars on Money Laundering and Terrorist Financing and COVID-19… | 07/27/2020

 
 
 
INT-FSB
 
 
 
 

Agency Update: Peer Review of Germany… | 07/29/2020

Agency Update: Peer Review of Germany — PDF… | 07/29/2020

News: FSB publishes peer review on macroprudential policy framework and tool… | 07/29/2020

 
 
 
NCUA
 
 
 
 

Notice: Sunshine Act Meeting… | 07/28/2020

 
 
 
NYSE
 
 
 
 

Notice: Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of … | 07/27/2020

Notice: Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of … | 07/27/2020

Notice: Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of … | 07/27/2020

 
 
 
OCC
 
 
 
 

Final Rule: Prohibitions and Restrictions on Proprietary Trading and Certain Inter… | 07/31/2020

News Release: NR 2020-99 Acting Comptroller of the Currency Presents Varo Bank, N.A…. | 07/31/2020

Bulletin: OCC 2020-71 Volcker Rule Covered Funds : Final Rule… | 07/31/2020

 
 
 
OFAC
 
 
 
 

Financial Sanction: Global Magnitsky Designations; Issuance of Global Magnitsky General Li… | 07/31/2020

Financial Sanction: Cuba Designation Update… | 07/30/2020

Press Release: Syria Designations; Syria-related Designations and Designation Removal… | 07/29/2020

Notice: Notice of OFAC Sanctions Actions… | 07/29/2020

Financial Sanction: Syria Designations; Syria-related Designations and Designation Removal… | 07/29/2020

Financial Sanction: Settlement Agreement between the U.S. Department of the Treasury’s Off… | 07/28/2020

Press Release: Counter Terrorism Designations — Treasury Designates Key ISIS Financi… | 07/28/2020

Notice: Notice of OFAC Sanctions Action… | 07/28/2020

Financial Sanction: Counter Terrorism Designations… | 07/28/2020

 
 
 
SEC
 
 
 
 
 
 
 
 

Enforcement: Tanya R. Carro, CPA… | 07/31/2020

Enforcement: Howard B. Schiller… | 07/31/2020

Notice: Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of … | 07/31/2020

Notice: Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Designat… | 07/31/2020

Enforcement: Valeant Pharmaceuticals International, Inc. and n/k/a Bausch Health Co… | 07/31/2020

Enforcement: Complete Business Solutions Group Inc. d/b/a/ Par Funding et al…. | 07/31/2020

Proposed Rule: Reporting Threshold for Institutional Investment Managers… | 07/31/2020

Notice: Notice of Intention To Cancel Registration Pursuant to Section 203(H) … | 07/31/2020

Notice: Sunshine Act Meetings… | 07/31/2020

Notice: Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and… | 07/31/2020

 
 
 
TREAS
 
 
 
 

News: U.S. Department of the Treasury… | 08/02/2020

News: U.S. Department of the Treasury… | 08/01/2020

News: U.S. Department of the Treasury… | 07/31/2020

Notice: Agency Information Collection Activities; Submission for OMB Review; C… | 07/30/2020

Notice: Agency Information Collection Activities; Submission for OMB Review; C… | 07/30/2020

Notice: Agency Information Collection Activities; Submission for OMB Review; C… | 07/30/2020

News: U.S. Department of the Treasury… | 07/29/2020

News: U.S. Department of the Treasury… | 07/29/2020

Final Rule: Definition of =E2=80=9CPrincipal Place of Business=E2=80=9D; Filing Fees for Notices o… | 07/28/2020

News: U.S. Department of the Treasury… | 07/28/2020

 
 
 
UK-BOE
 
 
 
 

News Release: UK aid and Bank of England help developing countries to manage coronav… | 07/31/2020

News Release: UK aid and Bank of England help developing countries to manage coronav… | 07/31/2020

News Release: The Bank of England appoints Accenture as the Technology Delivery Part… | 07/30/2020

News Release: The Bank of England appoints Accenture as the Technology Delivery Part… | 07/30/2020

Weekly report: Bank of England Weekly Report 29 July 2020 — View and download histor… | 07/30/2020

Weekly report: Bank of England Weekly Report 29 July 2020 — Further details about th… | 07/30/2020

Weekly report: Bank of England Weekly Report 29 July 2020… | 07/30/2020

Weekly report: Bank of England Weekly Report 29 July 2020 — Changes to the Bank’s we… | 07/30/2020

Agency Update: Asset Purchase Facility Quarterly Report – 2020 Q2 — results and usag… | 07/27/2020

Agency Update: Asset Purchase Facility Quarterly Report – 2020 Q2… | 07/27/2020

 
 
 
UK-CMA
 
 
 
 

Guidance: Nursery and early years sector: COVID-19 restrictions and consumer law… | 07/28/2020

Correspondence: CMA open letter to the early years sector… | 07/28/2020

 
 
 
UK-FCA
 
 
 
 
 
 
 
 

News: Income class… | 08/03/2020

Consultation papers: CP20/14: Updating the Dual-regulated firms Remuneration Code to reflec… | 08/03/2020

News: FCA announces proposals to update Dual-regulated firms Remuneration Co… | 08/03/2020

News: LIBOR transition =E2=80=93 the critical tasks ahead of us in the second half o… | 08/03/2020

News: UMARKETS… | 08/03/2020

Consultation papers: CP20/14: Updating the Dual-regulated firms Remuneration Code to reflec… | 08/03/2020

Publication: CP20/14: Updating the Dual-regulated firms Remuneration Code to reflec… | 08/03/2020

News: FCA consults on new rules to improve open-ended property fund structur… | 08/03/2020

News: Financial Claim Services… | 08/03/2020

Publication: Self-certification form… | 08/03/2020

 
 
 
UK-HMT
 
 
 
 
 
 
 
 

News Story: Eat Out to Help Out launches today – with government paying half on re… | 08/02/2020

News Story: Further details of the Job Retention Bonus announced… | 07/31/2020

Transparency: HM Treasury senior officials travel expenses: October to December 2019… | 07/31/2020

Consultation Outcome: Climate Change Agreements scheme extension and reforms for any future … | 07/31/2020

Transparency: Hospitality received by HMT special advisers: 1 January to 31 March 20… | 07/30/2020

Transparency: HM Treasury business appointment rules advice January to March 2020… | 07/30/2020

Transparency: HM Treasury senior officials travel expenses: January to March 2020… | 07/30/2020

News Story: New release shows the value of the Union to the nations of the UK… | 07/30/2020

Policy Paper: Treasury Minutes – July 2020… | 07/30/2020

Transparency: HMT ministers’ meetings, hospitality, gifts and overseas travel: 1 Jan… | 07/30/2020

 
 
 
UK-LSB
 
 
 
 

News: Response to the FCA’s Consultation Guidance for firms on the fair trea… | 07/31/2020

News: Response to the FCA’s Consultation Guidance for firms on the fair trea… | 07/31/2020

News: Life after lockdown – supporting case studies and guidance notes — ww… | 07/29/2020

News: Life after lockdown – supporting case studies and guidance notes… | 07/29/2020

 
 
 
UK-PRA
 
 
 
 
 
 

PRA Regulatory Digest: PRA Regulatory Digest – July 2020… | 08/03/2020

Consultation paper: Capital Requirements Directive V (CRD V) – Appendix 3 – Statements of … | 07/31/2020

Consultation paper: Capital Requirements Directive V (CRD V)… | 07/31/2020

Prudential Regulation: Banking supervisory disclosures: rules and guidance, options and discr… | 07/31/2020

Consultation paper: Capital Requirements Directive V (CRD V) – Appendix 1 – Rules instrume… | 07/31/2020

Consultation paper: Capital Requirements Directive V (CRD V) – Consultation Paper 12/20… | 07/31/2020

Consultation paper: Capital Requirements Directive V (CRD V) – Appendix 2 – Rules EU Exit … | 07/31/2020

Consultation paper: Solvency II: The PRA’s expectations for the work of external auditors … | 07/30/2020

Consultation paper: Solvency II: The PRA’s expectations for the work of external auditors … | 07/30/2020

Statement: PRA statement on dividend payments and share buybacks beyond 2020… | 07/28/2020

 
 
 
VA
 
 
 
 
 
 

Final Rule: Program of Comprehensive Assistance for Family Caregivers Improvements… | 07/31/2020

Notice: Agency Information Collection Activity: Verification of Eligibility fo… | 07/30/2020

Notice: Agency Information Collection Activity: Department of Veterans Affairs… | 07/30/2020

Notice: Veterans’ Advisory Committee on Rehabilitation, Amended Notice of Meet… | 07/29/2020

Notice: Agency Information Collection Activity Under OMB Review: Gravesite Res… | 07/29/2020

Final Rule: Specialty Education Loan Repayment Program… | 07/29/2020

Notice: Agency Information Collection Activity: (Presidential Memorial Certifi… | 07/29/2020

Notice: Advisory Committee Charter Renewals… | 07/28/2020

News: This announcement provides information on the system deployment occurr… | 07/28/2020

Notice: Cost-Based and Inter-Agency Billing Rates for Medical Care or Services… | 07/28/2020

 

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