131 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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40 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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58 new Proposed and Final Rules were published in the past 7 days

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6800 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 June 22-29

 
 
CA-OSFI
 
 
 
 

Agency Update: OSFI’s Domestic Stability Buffer level remains at 1%… | 06/23/2020

Agency Update: R=C3=A9serve pour stabilit=C3=A9 int=C3=A9rieure : le BSIF maintient le niveau =C3=A0 1 %… | 06/23/2020

 
 
 
CFPB
 
 
 
 
 
 
 
 

Notice: Agency Information Collection Activities: Comment Request… | 06/29/2020

Blog: Turning complaint into action: The CFPB works for you… | 06/26/2020

Final Rule: Truth in Lending (Regulation Z); Determining “Underserved” Areas Using… | 06/26/2020

Press release: FFIEC Announces Availability of 2019 Data on Mortgage Lending… | 06/24/2020

Press release: Consumer Financial Protection Bureau Settles with Contract for Deed Co… | 06/23/2020

Press release: CFPB Issues Interpretive Rule on Method for Determining Underserved Ar… | 06/23/2020

Blog: You have options for how to receive your unemployment benefits… | 06/23/2020

Press release: CFPB Issues Interim Final Rule on Loss Mitigation Options for Homeowne… | 06/23/2020

Enforcement Action: Harbour Portfolio Advisors, LLC; National Asset Advisors, LLC; and Nat… | 06/23/2020

 
 
 
CFTC
 
 
 
 

Notice: Technology Advisory Committee… | 06/29/2020

Notice: Adoption of Revised Registration Form 8-R… | 06/24/2020

Final Rule: Retail Commodity Transactions Involving Certain Digital Assets… | 06/24/2020

Notice: Agency Information Collection Activities: Notice of Intent To Revise C… | 06/24/2020

Notice: Sunshine Act Meetings… | 06/23/2020

 
 
 
DOJ
 
 
 
 

Notice: FY 2017 and FY 18 Service Contracts Inventory and Inventory Supplement… | 06/29/2020

Agency Update: Virtual FOIA Training for Agency FOIA Professionals “3 July Courses Now… | 06/24/2020

Final Rule: Privacy Act of 1974; Implementation… | 06/24/2020

Agency Update: National Review Op-Ed: The Myth of the Unqualified Trump Judge… | 06/23/2020

 
 
 
DOL
 
 
 
 

Notice: Agency Information Collection Activities; Submission for OMB Review; C… | 06/23/2020

Notice: Agency Information Collection Activities; Submission for OMB Review; C… | 06/23/2020

Notice: Agency Information Collection Activities; Submission for OMB Review; C… | 06/23/2020

Notice: Agency Information Collection Activities; Submission for OMB Review; C… | 06/23/2020

 
 
 
EBSA
 
 
 
 

News: U.S. Department of Labor Proposes New Investment Duties Rule… | 06/23/2020

 
 
 
EOP
 
 
 
 

Presidential Document: Strengthening the Child Welfare System for America’s Children… | 06/29/2020

Presidential Document: Presidential Determination Pursuant to Section 303 of the Defense Prod… | 06/29/2020

Presidential Document: Suspension of Entry of Immigrants and Nonimmigrants Who Present a Risk… | 06/25/2020

Presidential Document: Continuation of the National Emergency With Respect to the Western Bal… | 06/25/2020

Presidential Document: Father’s Day, 2020… | 06/24/2020

 
 
 
FDIC
 
 
 
 

Notice: Sunshine Act Meetings… | 06/29/2020

Final Rule: Assessments, Mitigating the Deposit Insurance Assessment Effect of Par… | 06/26/2020

Notice: Sunshine Act Meeting… | 06/23/2020

Notice: Agency Information Collection Activities: Submission for OMB Review; C… | 06/23/2020

 
 
 
FFIEC
 
 
 
 

News: FFIEC Announces Availability of 2019 Data on Mortgage Lending… | 06/24/2020

News: Press Release… | 06/24/2020

 
 
 
FINRA
 
 
 
 
 
 

AWCs (Letters of Acceptance, Waiver, and Consent): WestPark Capital, Inc. AWCs (Letters of Acceptance, Waiver, and Consen… | 06/26/2020

Notice: Self-Regulatory Organizations; Financial Industry Regulatory Authority… | 06/26/2020

AWCs (Letters of Acceptance, Waiver, and Consent): Moors & Cabot, Inc. AWCs (Letters of Acceptance, Waiver, and Consent)… | 06/25/2020

AWCs (Letters of Acceptance, Waiver, and Consent): BNY Mellon Capital Markets, LLC AWCs (Letters of Acceptance, Waiver, a… | 06/25/2020

Notices: Information Notice – 6/25/20 FINRA Gateway – Changes to Form U4 User I… | 06/25/2020

AWCs (Letters of Acceptance, Waiver, and Consent): SG Americas Securities, LLC, Newedge USA, LLC, (n/k/a SG Americas Secu… | 06/24/2020

AWCs (Letters of Acceptance, Waiver, and Consent): Ryan M. Davis AWCs (Letters of Acceptance, Waiver, and Consent)… | 06/24/2020

Notice: Self-Regulatory Organizations; Financial Industry Regulatory Authority… | 06/24/2020

AWCs (Letters of Acceptance, Waiver, and Consent): SG Americas Securities, LLC, Newedge USA, LLC, (n/k/a SG Americas Secu… | 06/24/2020

AWCs (Letters of Acceptance, Waiver, and Consent): Eric Lowell Small AWCs (Letters of Acceptance, Waiver, and Consent)… | 06/23/2020

 
 
 
FRS
 
 
 
 

Notice: Change in Bank Control Notices; Acquisitions of Shares of a Bank or Ba… | 06/29/2020

Notice: Agency Information Collection Activities: Announcement of Board Approv… | 06/29/2020

Notice: Agency Information Collection Activities: Announcement of Board Approv… | 06/29/2020

Notice: Agency Information Collection Activities: Announcement of Board Approv… | 06/29/2020

Notice: Proposed Agency Information Collection Activities; Comment Request… | 06/29/2020

Press Release: Federal Register notice: Loans in Areas Having Special Flood Hazards; … | 06/26/2020

Press Release: Agencies release proposed revisions to interagency questions and answe… | 06/26/2020

Press Release: Financial regulators modify Volcker rule… | 06/25/2020

Press Release: Board Memo: Final Rule Amending the Covered Fund Provisions of the Boa… | 06/25/2020

Press Release: Board memo: Final Rule to amend Regulation KK (Margin and Capital Requ… | 06/25/2020

 
 
 
FTC
 
 
 
 
 
 

Final Rule: Disclosure Requirements and Prohibitions Concerning Franchising… | 06/29/2020

News: FTC Requires Casino Operators Eldorado Resorts, Inc. and Caesars Enter… | 06/26/2020

Enforcement: Competition
Agreement Containing Consent Orders (219.04 KB)
Complaint … | 06/26/2020

Notice: Agency Information Collection Activities; Proposed Collection; Comment… | 06/25/2020

Enforcement: Medical Equipment and Devices
Complaint for Permanent Injunction and O… | 06/25/2020

News: FTC Puts an End to Deceptive Advertising of Light Therapy Device… | 06/25/2020

Notice: Agency Information Collection Activities; Submission for OMB Review; C… | 06/25/2020

Enforcement: Gasoline
Agreement Containing Consent Orders (62.56 KB)
Complaint (83…. | 06/24/2020

Speech: Breaking the Vicious Cycle: Establishing a Gold Standard for Efficienc… | 06/24/2020

News: FTC and SBA Warn Six Companies to Stop Potentially Misleading Marketin… | 06/24/2020

 
 
 
Freddie
 
 
 
 

Bulletin: Bulletin 2020-25 Temporary Servicing Guidance Related to COVID-19 and … | 06/24/2020

Bulletin: Bulletin 2020-24 Revised Liquidity Requirement for Mortgages in COVID-… | 06/24/2020

 
 
 
INT-FATF
 
 
 
 

Publication: Money Laundering and the Illegal Wildlife Trade… | 06/25/2020

Publication: FATF Plenary, 24 June 2020… | 06/24/2020

 
 
 
INT-FSB
 
 
 
 

News: FSB press briefing: Too-big-to-fail evaluation… | 06/28/2020

News: FSB evaluation finds too-big-to-fail reforms made banks more resilient… | 06/28/2020

News: COVID-19, the Financial Stability Board and the G20 Financial Reform A… | 06/25/2020

 
 
 
INT-IOSCO
 
 
 
 
 
 

Final Rule: FR06/2020 Good Practices on Processes for Deference… | 06/26/2020

Comment Letter: CR02/2020 The use of artificial intelligence and machine learning by m… | 06/25/2020

Comment Letter: CR02/2020 The use of artificial intelligence and machine learning by m… | 06/25/2020

Comment Letter: CR02/2020 The use of artificial intelligence and machine learning by m… | 06/25/2020

Comment Letter: CR02/2020 The use of artificial intelligence and machine learning by m… | 06/25/2020

Comment Letter: CR02/2020 The use of artificial intelligence and machine learning by m… | 06/25/2020

Comment Letter: CR02/2020 The use of artificial intelligence and machine learning by m… | 06/25/2020

Comment Letter: CR02/2020 The use of artificial intelligence and machine learning by m… | 06/25/2020

Comment Letter: CR02/2020 The use of artificial intelligence and machine learning by m… | 06/25/2020

Comment Letter: CR02/2020 The use of artificial intelligence and machine learning by m… | 06/25/2020

 
 
 
NCUA
 
 
 
 

Notice: Submission for OMB Review; Comment Request… | 06/29/2020

Notice: Agency Information Collection Activities: Proposed Collection; Comment… | 06/26/2020

Notice: Submission for OMB Review; Comment Request… | 06/23/2020

Notice: Sunshine Act: Notice of Agency Meeting… | 06/22/2020

 
 
 
NYSE
 
 
 
 

Notice: Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of … | 06/29/2020

Notice: Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of … | 06/25/2020

Notice: Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of … | 06/23/2020

 
 
 
OCC
 
 
 
 

News Release: News Release 2020-85… | 06/26/2020

News Release: News Release 2020-84… | 06/26/2020

News Release: News Release 2020-83… | 06/25/2020

News Release: News Release 2020-82… | 06/25/2020

Final Rule: Assessment of Fees… | 06/24/2020

News Release: News Release 2020-81… | 06/24/2020

News Release: News Release 2020-80… | 06/23/2020

News Release: News Release 2020-79… | 06/22/2020

 
 
 
OFAC
 
 
 
 

Notice: Notice of OFAC Sanctions Actions… | 06/29/2020

Financial Sanction: Iran-related Designations; Iran-related Designation Update; Counter Te… | 06/25/2020

Notice: Notice of OFAC Sanctions Actions… | 06/25/2020

Notice: Notice of OFAC Sanctions Actions… | 06/24/2020

Notice: Notice of OFAC Sanctions Actions… | 06/24/2020

Financial Sanction: Iran-related Designations… | 06/24/2020

Financial Sanction: Important Technical Notice for Users of the OFAC Website and Sanctions… | 06/22/2020

 
 
 
SEC
 
 
 
 
 
 

Notice: Sunshine Act Meetings… | 06/29/2020

Notice: Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of … | 06/29/2020

Notice: Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing a… | 06/29/2020

Notice: Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Fili… | 06/29/2020

Notice: Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing o… | 06/29/2020

Notice: Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Notice of Fili… | 06/29/2020

Notice: Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Fil… | 06/29/2020

Notice: Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Fili… | 06/29/2020

Notice: Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Pr… | 06/29/2020

Notice: Self-Regulatory Organizations; Cboe EDGA Exchange, Inc.; Notice of Fil… | 06/29/2020

 
 
 
TREAS
 
 
 
 

Notice: Agency Information Collection Activities; Submission for OMB Review; C… | 06/29/2020

Notice: Agency Information Collection Activities; Submission for OMB Review; C… | 06/29/2020

Notice: Agency Information Collection Activities; Submission for OMB Review; C… | 06/29/2020

Notice: Agency Information Collection Activities; Submission for OMB Review; C… | 06/29/2020

Final Rule: Business Loan Program Temporary Changes; Paycheck Protection Program-R… | 06/26/2020

News: U.S. Department of the Treasury… | 06/25/2020

News: U.S. Department of the Treasury… | 06/24/2020

Notice: Agency Information Collection Activities; Submission for OMB Review; C… | 06/24/2020

Notice: Multiemployer Pension Plan Application To Reduce Benefits… | 06/23/2020

News: U.S. Department of the Treasury… | 06/22/2020

 
 
 
UK-BOE
 
 
 
 

News Release: The Climate Financial Risk Forum publishes its guide to help the finan… | 06/29/2020

News Release: The Climate Financial Risk Forum publishes its guide to help the finan… | 06/29/2020

Agency Update: Gertjan Vlieghe: Observed macroeconomic tail risk and asset prices: ne… | 06/26/2020

Agency Update: Response to the remit for the Financial Policy Committee – June 2020 -… | 06/25/2020

Agency Update: Record of the Financial Policy Committee – June 2020… | 06/25/2020

Agency Update: Record of the Financial Policy Committee – June 2020 — Record of the … | 06/25/2020

Agency Update: Response to the remit for the Financial Policy Committee – June 2020… | 06/25/2020

Minutes: Minutes of the Wholesale Distribution Steering Group – May 2020 — Min… | 06/24/2020

Minutes: Minutes of the Wholesale Distribution Steering Group – May 2020… | 06/24/2020

 
 
 
UK-CMA
 
 
 
 

Press Release: CMA revises provisional findings in Amazon/Deliveroo case… | 06/24/2020

 
 
 
UK-FCA
 
 
 
 
 
 
 
 
 
 

News: The Climate Financial Risk Forum publishes its guide to help the finan… | 06/29/2020

News: FCA publicly censures Redcentric PLC for market abuse… | 06/26/2020

News: British Market… | 06/26/2020

News: Hyde Park Investment Ltd (clone of FCA authorised firm)… | 06/26/2020

News: Citizens Advisory… | 06/26/2020

News: Requirements have been imposed on Wirecard”9s authorisation… | 06/26/2020

Handbook: Handbook Notice 78… | 06/26/2020

Final notices: Final Notice 2020: Net Direct Car Sales Limited… | 06/26/2020

Final notices: Final Notice 2020: Redcentric PLC… | 06/26/2020

Final notices: Final Notice 2020: John Joseph Cullen (trading as Bankpark Motors)… | 06/26/2020

 
 
 
UK-HMT
 
 
 
 
 
 
 
 

Guidance: Preston guidance: June 2020… | 06/29/2020

Correspondence: Response to the remit and recommendations for the Financial Policy Com… | 06/25/2020

Policy Paper: Finance Bill 2020: Report stage… | 06/25/2020

Transparency: HMT spend greater than =C2=A325,000: May 2020… | 06/25/2020

Press Release: =C2=A3105 million to keep rough sleepers safe and off the streets during co… | 06/23/2020

Guidance: Whole of Government Accounts 2019 to 2020: guidance for preparers… | 06/23/2020

News Story: Regulatory reforms in Financial Services… | 06/23/2020

Corporate Report: National Savings and Investments annual report and accounts 2019 to 20… | 06/23/2020

Corporate Report: New Financial analysis of signatory data (June 2020)… | 06/23/2020

News Story: Over 40 new firms commit to promoting gender diversity in financial se… | 06/23/2020

 
 
 
UK-PRA
 
 
 
 

Statement: Statement by the PRA on Covid-19 regulatory reporting and disclosure a… | 06/26/2020

Statement: Statement by the PRA on implementation of the EBA Guidelines to addres… | 06/24/2020

 
 
 
VA
 
 
 
 

Notice: Agency Information Collection Activity Under OMB Review: Requirements … | 06/29/2020

Notice: Agency Information Collection Activity Under OMB Review: Record Keepin… | 06/24/2020

Notice: Agency Information Collection Activity Under OMB Review: Principles of… | 06/24/2020

Final Rule: Veterans Employment Pay for Success Grant Program… | 06/24/2020

Notice: Advisory Committee on Disability Compensation, Notice of Meeting… | 06/23/2020

Notice: Agency Information Collection Activity Under OMB Review: Application f… | 06/23/2020

Notice: Agency Information Collection Activity: Conflicting Interests Certific… | 06/22/2020

 

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