Regulatory Agency Updates | Week of June 10 to June 17

Regulatory Agency Updates | Week of June 10 - June 17

 
 
CA-OPC
 
 
 
 

News: Announcement: Consultation on transfers for processing =E2=80=93 Reframed disc… | 06/11/2019

 
 
 
CA-OSFI
 
 
 
 

Agency Update: Residential Mortgage Underwriting Practices and Procedures Guideline (… | 06/10/2019

 
 
 
CFPB
 
 
 
 

Final Rule: Payday, Vehicle Title, and Certain High-Cost Installment Loans; Delay … | 06/17/2019

Notice: Agency Information Collection Activities: Comment Request… | 06/14/2019

Notice: Agency Information Collection Activities: Comment Request… | 06/14/2019

News: Consumer Financial Protection Bureau Settles with Student CU Connect C… | 06/14/2019

News: Consumer Protection and Financial Inclusion… | 06/12/2019

News: Highlights of Director Kraninger=E2=80=99s First Six Months… | 06/11/2019

News: CFPB To Hold First Symposium On June 25… | 06/11/2019

News: Una herramienta f=C3=A1cil para vigilar sus gastos… | 06/11/2019

 
 
 
CFTC
 
 
 
 

Notice: Agency Information Collection Activities: Notice of Intent To Renew Co… | 06/14/2019

 
 
 
DOJ
 
 
 
 

Notice: Notice of Lodging of Proposed Consent Decree Under the Comprehensive E… | 06/17/2019

Notice: Notice of Extension of Public Comment Period for Consent Decree Under … | 06/17/2019

Agency Update: Justice Department Recognizes World Elder Abuse Awareness Day with Wee… | 06/14/2019

Agency Update: Honoring Elder Abuse Awareness Month… | 06/14/2019

Notice: Notice of Lodging of Proposed Settlement Agreement Under the Comprehen… | 06/12/2019

Notice: Notice of Lodging of Proposed Consent Decree Under the Comprehensive E… | 06/11/2019

Notice: Privacy Act of 1974; Systems of Records… | 06/10/2019

Notice: Privacy Act of 1974; Systems of Records… | 06/10/2019

 
 
 
EBSA
 
 
 
 

Final Rule: Electronic Filing of Notices for Apprenticeship and Training Plans and… | 06/17/2019

 
 
 
EOP
 
 
 
 

Presidential Document: Continuation of the National Emergency With Respect to the Actions and… | 06/14/2019

Presidential Document: Modernizing the Regulatory Framework for Agricultural Biotechnology Pr… | 06/14/2019

Presidential Document: Delegation of Functions and Authorities Under the Sanctioning the Use … | 06/13/2019

Presidential Document: Flag Day and National Flag Week, 2019… | 06/13/2019

Presidential Document: Delegation of Functions and Authorities Under the Nicaragua Human Righ… | 06/13/2019

Presidential Document: Presidential Determination Pursuant to Section 303 Defense Production … | 06/13/2019

Presidential Document: National Day of Remembrance of the 75th Anniversary of D-Day… | 06/12/2019

 
 
 
FDIC
 
 
 
 

Notice: Notice of Termination of Receivership… | 06/14/2019

News: Remarks by Jelena McWilliams, Chairman, Federal Deposit Insurance Corp… | 06/12/2019

 
 
 
FINCEN
 
 
 
 

News: Prepared Remarks of FinCEN Director Blanco at the NYU Law Program on C… | 06/12/2019

 
 
 
FINRA
 
 
 
 

Enforcement: Patrick Neal Foley… | 06/14/2019

Enforcement: George C. Merhoff, Jr…. | 06/14/2019

Enforcement: Daniel Robert Rozzi (“Rozzi”)… | 06/13/2019

Enforcement: Spencer Edwards, Inc. (“SEI”)… | 06/11/2019

Enforcement: Nicolas J. Barrios… | 06/11/2019

Enforcement: Donna Flemming… | 06/11/2019

Enforcement: Nina S. Jessee… | 06/11/2019

Enforcement: Kyung Soo Kim… | 06/10/2019

Enforcement: Ross Sinclaire & Associates, LLC… | 06/10/2019

Enforcement: U.S. Boston Capital Corporation… | 06/10/2019

 
 
 
FRS
 
 
 
 
 
 

Notice: Agency Information Collection Activities: Announcement of Board Approv… | 06/17/2019

Notice: Agency Information Collection Activities: Announcement of Board Approv… | 06/17/2019

Notice: Agency Information Collection Activities: Announcement of Board Approv… | 06/17/2019

Proposed Rule: Rules Regarding Availability of Information… | 06/17/2019

Notice: Proposed Agency Information Collection Activities; Comment Request… | 06/17/2019

Notice: Formations of, Acquisitions by, and Mergers of Bank Holding Companies… | 06/17/2019

Notice: Proposed Agency Information Collection Activities; Comment Request… | 06/17/2019

News: Attachment (PDF) – Federal Reserve Board requests public comment on te… | 06/14/2019

News: Federal Reserve Board requests public comment on technical updates to … | 06/14/2019

News: Federal Reserve Board publishes summary of feedback from roundtable di… | 06/13/2019

 
 
 
FTC
 
 
 
 
 
 

Notice: DealerBuilt/LightYear Dealer Technologies; Analysis To Aid Public Comm… | 06/17/2019

Agency Update: International Monthly: June 2019… | 06/14/2019

News: Unpacking Divestiture Packages… | 06/13/2019

News: Unpacking Divestiture Packages… | 06/13/2019

Enforcement: LightYear Dealer Technologies, LLC, In the Matter of… | 06/12/2019

News: Cmr. Slaughter opening remarks at FTC=E2=80=99s Online Event Tickets Workshop… | 06/11/2019

Notice: Staffordshire Property Management, LLC; Analysis To Aid Public Comment… | 06/11/2019

Notice: Shore to Please Vacations LLC; Analysis To Aid Public Comment… | 06/11/2019

News: OPP Director Bilal Sayyed moderates the Revisiting =E2=80=9CThe Limits of Anti… | 06/10/2019

News: Weekly Calendar for June 10, 2019… | 06/10/2019

 
 
 
Fannie
 
 
 
 

News: Servicing Guide Updates… | 06/12/2019

News: URLA optional use period postponed… | 06/12/2019

News: Ask Poli Now Available in LSDU… | 06/12/2019

News: Malloy Evans: Key Updates in Latest Servicing Announcement (June 12, 2… | 06/12/2019

 
 
 
INT-EC
 
 
 
 

News: Banking Union: Non-performing loans in the EU continue to decline… | 06/12/2019

News: Opening remarks by Vice-President Dombrovskis on deepening Europe’s Ec… | 06/12/2019

 
 
 
INT-FSB
 
 
 
 

News: FSB publishes compensation progress report… | 06/17/2019

News: FSB RCG for Asia discusses the design and use of crisis simulation exe… | 06/14/2019

News: Corporate governance: a building block for financial resilience… | 06/12/2019

 
 
 
NCUA
 
 
 
 

Notice: Submission for OMB Review; Comment Request… | 06/17/2019

Notice: Agency Information Collection Activities: Proposed Collection; Comment… | 06/17/2019

Notice: Sunshine Act: Notice of Agency Meeting… | 06/17/2019

 
 
 
OCC
 
 
 
 

News: OCC Hosts Compliance and Operational Risk Workshops in Boston… | 06/13/2019

 
 
 
OFAC
 
 
 
 

Final Rule: Inflation Adjustment of Civil Monetary Penalties… | 06/14/2019

Notice: Notice of OFAC Sanctions Actions… | 06/12/2019

Notice: Notice of OFAC Sanctions Actions… | 06/11/2019

 
 
 
SEC
 
 
 
 
 
 

Proposed Rule: Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of … | 06/17/2019

Proposed Rule: Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Fil… | 06/17/2019

Proposed Rule: Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Fili… | 06/17/2019

Proposed Rule: Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Fili… | 06/17/2019

Proposed Rule: Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of … | 06/17/2019

Proposed Rule: Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of … | 06/17/2019

Final Rule: Amendment to Single Issuer Exemption for Broker-Dealers… | 06/14/2019

Proposed Rule: Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Fil… | 06/14/2019

Enforcement: David Vogel, CPA… | 06/14/2019

Enforcement: SEC Complaint – David Wagner, Downing Partners, LLC, Downing Investmen… | 06/14/2019

 
 
 
TREAS
 
 
 
 

Notice: Agency Information Collection Activities; Proposed Collection; Comment… | 06/17/2019

Agency Update: U.S. Department of the Treasury… | 06/14/2019

Agency Update: U.S. Department of the Treasury… | 06/14/2019

Agency Update: U.S. Department of the Treasury… | 06/13/2019

Agency Update: U.S. Department of the Treasury… | 06/12/2019

Agency Update: U.S. Department of the Treasury… | 06/12/2019

Agency Update: U.S. Department of the Treasury… | 06/11/2019

Agency Update: U.S. Department of the Treasury… | 06/11/2019

Notice: Agency Information Collection Activities; Submission for OMB Review; C… | 06/10/2019

Notice: Survey of Foreign Ownership of U.S. Securities as of June 30, 2019… | 06/10/2019

 
 
 
UK-BOE
 
 
 
 
 
 

News: Treasury Select Committee hearing on the May Inflation Report (startin… | 06/14/2019

News: Dame Colette Bowe Treasury Select Committee appointment hearing (10:00… | 06/14/2019

News: Finance by all, for all – remarks by Mark Carney… | 06/14/2019

Agency Update: Tracking foreign capital: the effect of capital inflows on bank lendin… | 06/14/2019

Agency Update: Simulating stress in the UK corporate bond market: investor behaviour … | 06/14/2019

Working Paper: Simulating stress in the UK corporate bond market: investor behaviour … | 06/14/2019

Working Paper: Simulating stress in the UK corporate bond market: investor behaviour … | 06/14/2019

Working Paper: Tracking foreign capital: the effect of capital inflows on bank lendin… | 06/14/2019

Working Paper: Tracking foreign capital: the effect of capital inflows on bank lendin… | 06/14/2019

Working Paper: Simulating stress in the UK corporate bond market: investor behaviour … | 06/14/2019

 
 
 
UK-CMA
 
 
 
 

Press Release: 4 Berkshire estate agents accused of illegally fixing fees… | 06/13/2019

News Story: CMA clears PayPal / iZettle deal… | 06/12/2019

Speech: UK Competition Law enforcement: the post-Brexit future… | 06/11/2019

News Story: CMA launches consumer law investigation into leasehold market… | 06/11/2019

News Story: Thermo Fisher/Roper abandon deal… | 06/10/2019

Press Release: Final step taken in CMA reform of investment consultants… | 06/10/2019

 
 
 
UK-FCA
 
 
 
 
 
 

News: FCA calls on consumer to act now as PPI complaints deadline pressure b… | 06/17/2019

News: FCA and CSRC announce their support for the Shanghai-London Stock Conn… | 06/17/2019

News: Goldman Sachs Asset Management International (clone of authorised firm… | 06/14/2019

News: Swiss Investment FX (clone of FCA authorised firm)… | 06/14/2019

News: Pentagon (UK) Limited and Atlantic Finance (UK) Limited enter administ… | 06/14/2019

News: Swiss Investment Ltd (clone of FCA authorised firm)… | 06/14/2019

News: Deccan Loans (clone of authorised firm)… | 06/13/2019

News: Infinity Capital Markets… | 06/13/2019

News: Claims Careline Ltd (clone of authorised firm)… | 06/13/2019

Consultations Consultation papers: CP19/20: Our framework: assessing adequate financial resources — Read… | 06/13/2019

 
 
 
UK-ICO
 
 
 
 
 
 

Advisory visit: Long Furlong Primary School… | 06/17/2019

Advisory visit: By Design Group Ltd… | 06/14/2019

News: ICO fines home security company for making thousands of nuisance calls… | 06/13/2019

Monetary penalties: Smart Home Protection Ltd… | 06/13/2019

Monetary penalties: Smart Home Protection Ltd — Smart Home Protection Ltd… | 06/13/2019

Audit: East London NHS Foundation Trust… | 06/12/2019

Audit: East London NHS Foundation Trust — Executive summary of the East Lond… | 06/12/2019

Follow up audit: Devon Partnership NHS Trust… | 06/11/2019

 
 
 
UK-PRA
 
 
 
 

Policy statement: Pillar 2 liquidity: Updates to the framework – Appendix 1: PRA RULEBOO… | 06/17/2019

Policy statement: Pillar 2 liquidity: Updates to the framework – Policy Statement 13/19… | 06/17/2019

Policy statement: Pillar 2 liquidity: Updates to the framework… | 06/17/2019

Policy statement: Regulated fees and levies: Rates proposals 2019/20… | 06/13/2019

Policy statement: Regulated fees and levies: Rates proposals 2019/20 – Appendix 1: PRA R… | 06/13/2019

Policy statement: Regulated fees and levies: Rates proposals 2019/20 – Policy Statement … | 06/13/2019

Letter: Letter from Melanie Beaman: Review and findings: Fast growing firms – … | 06/12/2019

Letter: Letter from Melanie Beaman: Review and findings: Fast growing firms… | 06/12/2019

Prudential Regulation: PRA Rulebook: PRA Periodic Fees (2019/20) and Other Fees Instrument 20… | 06/11/2019

Prudential Regulation: PRA Rulebook: CRR Firms: Liquidity Regulatory Reporting (Amendment) (N… | 06/11/2019

 
 
 
VA
 
 
 
 

Notice: Veterans and Community Oversight and Engagement Board, Notice of Meeti… | 06/17/2019

Notice: Agency Information Collection Activity: VA Health Professional Scholar… | 06/10/2019

Notice: Agency Information Collection Activity Under OMB Review: The Veteran E… | 06/10/2019

 

X