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

-

FINRA enforcements increased 21% over the past 30 days

-

FTC issued enforcements: $8,726,254.27 over the past 30 days

-

165 Final Rules go into effect in the next 30 days

-

55 Mortgage Lending docs published in the last 7 days

-

5330 docs with 12540 extracted obligations from the last 7 days

-

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

-

11692 new docs in pro.compliance.ai within the last 7 days

-

Download the Q3 Enforcement eBook now!

-

Join us Feb 4th at Comply 2021

-

 
 
CA-CANLII
 
 
 
 

Agency Update: European Space Agency Privileges and Immunities Order, SOR/2019-181 [M… | 06/27/2019

 
 
 
CA-OPC
 
 
 
 

News: Announcement: Consider privacy implications when outsourcing functions… | 06/27/2019

Agency Update: Consider privacy implications when outsourcing functions to a third pa… | 06/27/2019

 
 
 
CA-OSFI
 
 
 
 

Letter: Margin Requirements for Non-Centrally Cleared Derivatives Guideline (E… | 06/28/2019

Letter: Margin Requirements for Non-Centrally Cleared Derivatives Guideline (E… | 06/28/2019

 
 
 
CFPB
 
 
 
 

Notice: Agency Information Collection Activities: Submission for OMB Review; C… | 07/01/2019

News: CFPB Extends Comment Period For ANPR on HMDA Data Points… | 06/27/2019

News: Brian Johnson Remarks at Public Symposium on Abusive Acts and Practice… | 06/25/2019

News: Kathleen L. Kraninger’s Speech at the Abusive Acts or Practices Sympos… | 06/25/2019

News: Agencies Issue Final Amendments to Regulation CC Regarding Funds Avail… | 06/24/2019

Notice: Agency Information Collection Activities: Comment Request… | 06/24/2019

 
 
 
CFTC
 
 
 
 

Notice: Agency Information Collection Activities Under OMB Review… | 07/01/2019

News: CFTC Orders Commodity Trading Firm to Pay Penalty for Wash Sales and I… | 06/28/2019

Notice: Agency Information Collection Activities Under OMB Review… | 06/27/2019

News: Commodity Pool and its President Ordered to Pay $1.2 Million, Banned f… | 06/27/2019

Notice: Agency Information Collection Activities: Notice of Intent To Renew Co… | 06/27/2019

Notice: Agency Information Collection Activities Under OMB Review… | 06/27/2019

Notice: Agency Information Collection Activities: Notice of Intent To Renew Co… | 06/26/2019

Notice: Agency Information Collection Activities Under OMB Review… | 06/26/2019

Notice: Agency Information Collection Activities Under OMB Review… | 06/26/2019

News: CFTC Orders Merrill Lynch Commodities, Inc. to Pay Approximately $25 M… | 06/25/2019

 
 
 
DOJ
 
 
 
 

Notice: Notice of Lodging of Proposed Consent Decree Under The Clean Air Act, … | 07/01/2019

Notice: Agency Information Collection Activities; Proposed eCollection eCommen… | 06/28/2019

Notice: Agency Information Collection Activities; Proposed eCollection eCommen… | 06/28/2019

Notice: Agency Information Collection Activities; Proposed eCollection eCommen… | 06/28/2019

Notice: Agency Information Collection Activities; Proposed eCollection eCommen… | 06/28/2019

Notice: Notice of Lodging of Proposed Consent Decree Under the Emergency Plann… | 06/28/2019

Notice: Agency Information Collection Activities; Proposed eCollection eCommen… | 06/28/2019

Notice: Agency Information Collection Activities: Proposed eCollection; eComme… | 06/28/2019

Agency Update: Attorney Generals Advisory Subcommittee on Native American Issues Meet… | 06/27/2019

Notice: Notice of Lodging of Proposed Consent Decree Under the Comprehensive E… | 06/27/2019

 
 
 
DOL
 
 
 
 

Notice: Agency Information Collection Activities; Submission for OMB Review; C… | 07/01/2019

Notice: Agency Information Collection Activities; Submission for OMB Review; C… | 06/28/2019

Notice: Agency Information Collection Activities; Submission for OMB Review; C… | 06/28/2019

Notice: Agency Information Collection Activities; Submission for OMB Review; C… | 06/28/2019

Notice: Agency Information Collection Activities; Submission for OMB Review; C… | 06/28/2019

Notice: Agency Information Collection Activities; Submission for OMB Review; C… | 06/28/2019

Notice: Agency Information Collection Activities; Submission for OMB Review; C… | 06/28/2019

Notice: Agency Information Collection Activities; Submission for OMB Review; C… | 06/28/2019

Notice: Agency Information Collection Activities; Submission for OMB Review; C… | 06/28/2019

Notice: Agency Information Collection Activities; Submission for OMB Review; C… | 06/28/2019

 
 
 
EOP
 
 
 
 

Presidential Document: Policy for Military Service Academy and Reserve Officers’ Training Cor… | 07/01/2019

Presidential Document: Establishing a White House Council on Eliminating Regulatory Barriers … | 06/28/2019

Presidential Document: Improving Price and Quality Transparency in American Healthcare To Put… | 06/27/2019

Presidential Document: Imposing Sanctions With Respect to Iran… | 06/26/2019

Presidential Document: Continuation of the National Emergency With Respect to North Korea… | 06/24/2019

 
 
 
FDIC
 
 
 
 

Final Rule: Removal of Transferred OTS Regulations Regarding Lending and Investmen… | 07/01/2019

Notice: Agency Information Collection Activities: Proposed Collection Renewal;… | 06/27/2019

Notice: Sunshine Act Meetings… | 06/26/2019

News: Statement of the Federal Deposit Insurance Corporation on “Overseeing … | 06/25/2019

Notice: Proposed Agency Information Collection Activities; Comment Request… | 06/25/2019

Notice: Agency Information Collection Activities: Proposed Collection; Comment… | 06/25/2019

 
 
 
FFIEC
 
 
 
 

Notice: Appraisal Subcommittee Notice of Meeting… | 06/28/2019

 
 
 
FINRA
 
 
 
 

Enforcement: Gregory John Lane… | 06/27/2019

Enforcement: Zvi Ben-Zvi… | 06/27/2019

Enforcement: Jeffrey P. Schwebach… | 06/26/2019

Enforcement: Daniel M. Soliman… | 06/26/2019

Enforcement: Sanford C. Bernstein & Co., LLC… | 06/26/2019

Enforcement: Jeffrey P. Schwebach… | 06/26/2019

Enforcement: Larry Michael Crabtree… | 06/26/2019

Enforcement: Axos Clearing LLC,1… | 06/26/2019

Enforcement: Mark Gregory Raezer… | 06/25/2019

Enforcement: Mijin Kim… | 06/25/2019

 
 
 
FRS
 
 
 
 

Notice: Formations of, Acquisitions by, and Mergers of Bank Holding Companies… | 07/01/2019

News: The Federal Reserve’s Review of Its Monetary Policy Strategy, Tools, a… | 07/01/2019

News: Federal Reserve Board announces approval of proposals by Texas Indepen… | 06/27/2019

News: Attachment (PDF) – Federal Reserve Board announces approval of proposa… | 06/27/2019

Notice: Formations of, Acquisitions by, and Mergers of Bank Holding Companies… | 06/27/2019

News: Federal Reserve releases results of Comprehensive Capital Analysis and… | 06/27/2019

Notice: Change in Bank Control Notices; Acquisitions of Shares of a Bank or Ba… | 06/27/2019

Notice: Change in Bank Control Notices; Acquisitions of Shares of a Bank or Ba… | 06/26/2019

News: Economic Outlook and Monetary Policy Review – Chair Jerome H. Powell… | 06/25/2019

Notice: Proposed Agency Information Collection Activities; Comment Request… | 06/25/2019

 
 
 
FTC
 
 
 
 
 
 

Final Rule: Military Credit Monitoring… | 07/01/2019

News: Fighting Consumer Fraud and Identity Theft in Iowa… | 06/27/2019

Final Rule: Premerger Notification; Reporting and Waiting Period Requirements… | 06/27/2019

News: Interlocking Mindfulness… | 06/26/2019

News: Interlocking Mindfulness… | 06/26/2019

Notice: UnitedHealth Group and DaVita; Analysis of Agreement Containing Consen… | 06/26/2019

Enforcement: Media Mix 365, LLC… | 06/25/2019

Enforcement: 8 Figure Dream Lifestyle LLC… | 06/25/2019

Enforcement: First Choice Horizon LLC… | 06/25/2019

Enforcement: Derek Jason Bartoli… | 06/25/2019

 
 
 
Fannie
 
 
 
 

News: Appraising Properties with Solar Panels… | 06/28/2019

News: June 2019 AQM List Posted upda… | 06/24/2019

News: Appraisal waiver eligibility change… | 06/24/2019

 
 
 
INT-BIS
 
 
 
 

News: Time to ignite all engines, BIS says in its Annual Economic Report… | 06/30/2019

News: BIS to set up Innovation Hub for central banks… | 06/30/2019

News: Basel Committee finalises revisions to leverage ratio treatment of cli… | 06/26/2019

News: Literature review on the costs and benefits of bank capital published … | 06/24/2019

 
 
 
INT-EBA
 
 
 
 

News: EBA publishes its roadmap for the new market and counterparty credit r… | 06/27/2019

News: EBA issues 2020 EU-wide stress test methodology for discussion… | 06/25/2019

 
 
 
INT-EC
 
 
 
 

News: June issue of newsletter is out!… | 06/28/2019

 
 
 
INT-FATF
 
 
 
 

Publications: Objectives Plenary Year XXXI (pdf, )… | 07/01/2019

Publications: Objectives for the FATF during the Chinese Presidency (2019-2020)… | 07/01/2019

Publications: FATF report to G20 Leaders’ Summit (pdf, )… | 06/27/2019

Publications: FATF Report to G20 Leaders’ Summit… | 06/27/2019

Publications: Risk-based Approach for the Accounting Profession… | 06/26/2019

Publications: Risk-based Approach for Trust and Company Service Providers (pdf, )… | 06/26/2019

Publications: Guidance for a Risk-based Approach for the Accounting Profession (pdf,… | 06/26/2019

Publications: Risk-based Approach for Legal Professionals… | 06/26/2019

Publications: Risk-based Approach for Trust and Company Service Providers… | 06/26/2019

Publications: Risk Based Approach Guidance for Legal Professionals (pdf, )… | 06/26/2019

 
 
 
INT-FSB
 
 
 
 

Agency Update: Public responses to the call for public feedback on the evaluation of … | 06/27/2019

Agency Update: Public responses to the call for public feedback on the evaluation of … | 06/27/2019

Agency Update: Public responses to the call for public feedback on the evaluation of … | 06/27/2019

Agency Update: Public responses to the call for public feedback on the evaluation of … | 06/27/2019

Agency Update: Public responses to the call for public feedback on the evaluation of … | 06/27/2019

Agency Update: Public responses to the call for public feedback on the evaluation of … | 06/27/2019

Agency Update: Public responses to the call for public feedback on the evaluation of … | 06/27/2019

Agency Update: Public responses to the call for public feedback on the evaluation of … | 06/27/2019

Agency Update: Public responses to the call for public feedback on the evaluation of … | 06/27/2019

Agency Update: Public responses to the call for public feedback on the evaluation of … | 06/27/2019

 
 
 
INT-TWG
 
 
 
 

News: Publication of the CBDDQ Capacity Building Materials… | 06/27/2019

 
 
 
NCUA
 
 
 
 

Proposed Rule: Delay of Effective Date of the Risk-Based Capital Rules… | 06/26/2019

 
 
 
NYSE
 
 
 
 

Enforcement: Sanford C. Bernstein & Co., LLC… | 06/26/2019

 
 
 
OCC
 
 
 
 

Bulletin: OCC BULLETIN 2019-31… | 07/01/2019

Notice: Mutual Savings Association Advisory Committee… | 06/28/2019

News: OCC Hosts Mutual Savings Association Advisory Committee Meeting July 2… | 06/28/2019

Bulletin: OCC BULLETIN 2019-30… | 06/26/2019

News: OCC Reports Improvement in Mortgage Performance… | 06/26/2019

Notice: Proposed Agency Information Collection Activities; Comment Request… | 06/25/2019

News: Chief Innovation Officer Discusses OCC Support of Responsible Innovati… | 06/25/2019

 
 
 
OFAC
 
 
 
 

Financial Sanction: Venezuela-related Designation… | 06/28/2019

Notice: Notice of OFAC Sanctions Actions… | 06/28/2019

Final Rule: Technical Amendments to North Korea Sanctions Regulations… | 06/28/2019

Financial Sanction: Venezuela-related Designations… | 06/27/2019

Notice: Notice of OFAC Sanctions Actions… | 06/27/2019

Financial Sanction: Publication of Amended North Korea Sanctions Regulations… | 06/26/2019

Financial Sanction: Issuance of Amended Venezuela-related General License; Temporary Exten… | 06/26/2019

Notice: Notice of OFAC Sanctions Actions… | 06/25/2019

Financial Sanction: Issuance of Executive Order of June 24, 2019, “Imposing Sanctions with… | 06/24/2019

 
 
 
SEC
 
 
 
 
 
 

Notice: Self-Regulatory Organizations; Miami International Securities Exchange… | 07/01/2019

Notice: Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Pr… | 07/01/2019

Notice: Self-Regulatory Organizations; Nasdaq BX, Inc.; Order Granting Acceler… | 07/01/2019

Final Rule: Adoption of Updated EDGAR Filer Manual… | 07/01/2019

Enforcement: SEC Complaint – Paul Andrews Rinfret, et al…. | 06/28/2019

Enforcement: Avi Chiat, Esq…. | 06/28/2019

Enforcement: S. Jeffrey Jones, CPA… | 06/28/2019

Enforcement: SEC Complaint – Johnny R. Thomas, et al…. | 06/28/2019

Notice: Self-Regulatory Organizations; The Options Clearing Corporation; Notic… | 06/28/2019

Notice: Self-Regulatory Organizations; Nasdaq PHLX LLC; Order Granting Approva… | 06/28/2019

 
 
 
TREAS
 
 
 
 

Agency Update: U.S. Department of the Treasury… | 06/28/2019

Notice: Open Meeting of the Financial Research Advisory Committee… | 06/28/2019

Notice: Agency Information Collection Activities; Submission for OMB Review; C… | 06/27/2019

Agency Update: U.S. Department of the Treasury… | 06/27/2019

Notice: Agency Information Collection Activities; Submission for OMB Review; C… | 06/26/2019

Notice: Proposed Collection; Comment Request… | 06/26/2019

Agency Update: U.S. Department of the Treasury… | 06/24/2019

Notice: Agency Information Collection Activities; Submission for OMB Review; C… | 06/24/2019

 
 
 
UK-BOE
 
 
 
 
 
 

News: The impact of machine learning and AI on the UK economy… | 06/28/2019

Agency Update: Heterogeneous beliefs and the Phillips curve… | 06/28/2019

News: Why diverse markets need diverse talent – speech by Andrew Hauser… | 06/28/2019

Working Paper: Heterogeneous beliefs and the Phillips curve… | 06/28/2019

Working Paper: Heterogeneous beliefs and the Phillips curve — Sign up to receive ema… | 06/28/2019

Working Paper: Heterogeneous beliefs and the Phillips curve — Heterogeneous beliefs … | 06/28/2019

Agency Update: Bank of England Weekly Report 26 June 2019… | 06/27/2019

Agency Update: The Bank of England=E2=80=99s risk management approach to collateral referenci… | 06/27/2019

News: Join the revolution! Why it makes business sense to move on from LIBOR… | 06/27/2019

Weekly report: Bank of England Weekly Report 26 June 2019… | 06/27/2019

 
 
 
UK-FCA
 
 
 
 
 
 
 
 

Policy statements: PS19/18: Restricting contract for difference products sold to retail c… | 07/01/2019

Final notices: Final Notice 2019: Craig Mitchison… | 07/01/2019

News: FCA confirms permanent restrictions on the sale of CFDs and CFD-like o… | 07/01/2019

Policy statements: PS19/18: Restricting contract for difference products sold to retail c… | 07/01/2019

News: New Chairs of the Financial Conduct Authority=E2=80=99s Practitioner Panel and… | 06/28/2019

Handbook: Handbook Notice 67… | 06/28/2019

News: NBI Funds (clone of authorised firm)… | 06/28/2019

News: United Standard Equities Ltd (clone of authorised firm)… | 06/28/2019

News: FCA response to European Banking Authority=E2=80=99s Opinion on Strong Custome… | 06/28/2019

News: New Lease Car… | 06/27/2019

 
 
 
UK-HMT
 
 
 
 
 
 

News Story: New Government Projects Chief Unveiled… | 07/01/2019

Guidance: Financial sanctions, Cyber-Attacks… | 06/28/2019

National Statistics: GDP deflators at market prices, and money GDP June 2019 (Quarterly Nat… | 06/28/2019

News Story: Prize-linked savings pilot participants announced… | 06/28/2019

News Story: Chancellor urges global action to tackle antimicrobial resistance cris… | 06/28/2019

Policy Paper: The Financial Services Compensation Scheme’s annual report and account… | 06/28/2019

Corporate Report: The Crown Estate Office annual report and financial statements 2018 to… | 06/25/2019

Guidance: Preston guidance: June 2019… | 06/25/2019

Corporate Report: The Crown Estate integrated annual report and accounts 2018 to 2019 – … | 06/25/2019

Guidance: Sovereign Grant Act 2011: guidance… | 06/25/2019

 
 
 
UK-ICO
 
 
 
 
 
 

News: Statement on cookies… | 06/28/2019

News: Former company director believed to have profited by more than =C2=A31.4 mi… | 06/28/2019

Audit: South East Coast Ambulance Service NHS Foundation Trust… | 06/28/2019

Audit: South East Coast Ambulance Service NHS Foundation Trust — Executive s… | 06/28/2019

News: ICO searches Liverpool addresses as part of investigation into suspect… | 06/27/2019

News: ICO=E2=80=99s access to information strategy calls for better compliance by pu… | 06/27/2019

News: Human bias and discrimination in AI systems… | 06/25/2019

News: Blog: Supporting people accessing their data from the police… | 06/25/2019

Enforcement notices: Metropolitan Police Service — Metropolitan Police Service enforcement… | 06/25/2019

Enforcement notices: Metropolitan Police Service… | 06/25/2019

 
 
 
UK-LSB
 
 
 
 

News: LSB becomes governance and oversight body for the Contingent Reimburse… | 07/01/2019

News: LSB becomes governance and oversight body for the Contingent Reimburse… | 07/01/2019

 
 
 
UK-PRA
 
 
 
 

PRA Regulatory Digest: PRA Regulatory Digest – June 2019… | 07/01/2019

Consultation paper: Pillar 2 liquidity: PRA110 reporting frequency threshold… | 06/25/2019

Consultation paper: Pillar 2 liquidity: PRA110 reporting frequency threshold – Consultatio… | 06/25/2019

 
 
 
VA
 
 
 
 

Notice: Solicitation of Nomination for Appointment to the Advisory Committee o… | 07/01/2019

Notice: Agency Information Collection Activity: State Application for Intermen… | 07/01/2019

Notice: Privacy Act of 1974; System of Records… | 06/28/2019

Notice: Agency Information Collection Activity: Veterans Health Administration… | 06/27/2019

Notice: Notice of Availability of the Final Programmatic Environmental Impact … | 06/26/2019

Proposed Rule: Service Members Group Life Insurance-Definition of Stillborn Child for… | 06/26/2019

Final Rule: Case Management Services Grant Program… | 06/26/2019

Proposed Rule: Health Professional Scholarship Program… | 06/25/2019

Notice: Agency Information Collection Activity Under OMB Review: Request for D… | 06/25/2019

Final Rule: VA Acquisition Regulation: Special Contracting Methods… | 06/24/2019

 

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