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

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FINRA enforcements increased 21% over the past 30 days

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

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165 Final Rules go into effect in the next 30 days

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55 Mortgage Lending docs published in the last 7 days

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5330 docs with 12540 extracted obligations from the last 7 days

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

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11692 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

-

Enforcement Report June 29 - July 06

 
 
CFPB
 
 
 
 
 
 

Press release: Consumer Financial Protection Bureau Issues Proposed Rule on Escrow Ex… | 07/02/2020

Press release: CFPB, OCC Host Virtual Innovation Office Hours… | 07/02/2020

Blog: Spring 2020 Rulemaking Agenda… | 06/30/2020

Final Rule: Treatment of Certain COVID-19 Related Loss Mitigation Options Under th… | 06/30/2020

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

Press release: CFPB Announces Tech Sprints To Empower Consumers, Reduce Regulatory Bu… | 06/29/2020

 
 
 
CFTC
 
 
 
 

Notice: Market Risk Advisory Committee… | 07/06/2020

Notice: Agency Information Collection Activities Under OMB Review… | 07/01/2020

News: Supreme Court Denies Defendants’ Challenge to CFTC’s Enforcement Autho… | 06/30/2020

Enforcement: Order: Cunningham Commodities, LLC… | 06/29/2020

News: CFTC Charges Chicago-Based Firm and Six Individuals in Multi-Million D… | 06/29/2020

Enforcement: Complaint: Long Leaf Trading Group, et al… | 06/29/2020

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

Enforcement: Order: Scott J. Gecas… | 06/29/2020

Enforcement: Order: James E. Leeney… | 06/29/2020

News: CFTC Orders Illinois Firm to Pay $250,000 for Supervision Violations… | 06/29/2020

 
 
 
DOJ
 
 
 
 

Notice: Notice of Lodging of Proposed Consent Decree Under the Clean Air Act… | 07/02/2020

Notice: Agency Information Collection Activities: Proposed Collection; Comment… | 07/02/2020

Notice: Notice of Lodging of Proposed Amendment To Consent Decree Under The Cl… | 07/01/2020

Notice: Agency Information Collection Activities; Proposed eCollection eCommen… | 06/30/2020

Notice: Agency Information Collection Activities; Proposed Collection; Comment… | 06/30/2020

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

 
 
 
EBSA
 
 
 
 
 
 

Final Rule: Default Electronic Disclosure by Employee Pension Benefit Plans Under … | 07/02/2020

Notice: 200th Meeting of the Advisory Council on Employee Welfare and Pension … | 07/02/2020

Proposed Rule: Financial Factors in Selecting Plan Investments… | 06/30/2020

News: U.S. Department of Labor Proposes to Improve Investment Advice And Enh… | 06/29/2020

 
 
 
EOP
 
 
 
 

Presidential Document: Pledge to America’s Workers Month, 2020… | 07/06/2020

Presidential Document: Protecting American Monuments, Memorials, and Statues and Combating Re… | 07/02/2020

Presidential Document: Amendment to Proclamation 10052… | 07/02/2020

Presidential Document: To Take Certain Actions Under the United States- Mexico-Canada Agreeme… | 07/01/2020

Presidential Document: Continuing the President’s National Council for the American Worker an… | 07/01/2020

Presidential Document: Modernizing and Reforming the Assessment and Hiring of Federal Job Can… | 07/01/2020

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

 
 
 
FDIC
 
 
 
 

Proposed Rule: Loans in Areas Having Special Flood Hazards; Interagency Questions and… | 07/06/2020

Final Rule: Margin and Capital Requirements for Covered Swap Entities… | 07/01/2020

Final Rule: Margin and Capital Requirements for Covered Swap Entities… | 07/01/2020

Notice: Sunshine Act Meetings; Notice of a Change in Time of Agency Meeting… | 06/30/2020

Proposed Rule: Credit Risk Retention-Notification of Commencement of Review; Extensio… | 06/30/2020

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

 
 
 
FFIEC
 
 
 
 

News: Press Release… | 07/01/2020

 
 
 
FINCEN
 
 
 
 

News: FinCEN Guidance Regarding Due Diligence Requirements under the Bank Se… | 06/29/2020

 
 
 
FINRA
 
 
 
 
 
 

Notices: Regulatory Notice 20-22 FINRA Announces Updates to the Interpretations… | 07/02/2020

AWCs (Letters of Acceptance, Waiver, and Consent): Eugene J. Long AWCs (Letters of Acceptance, Waiver, and Consent)… | 07/02/2020

AWCs (Letters of Acceptance, Waiver, and Consent): Cadaret, Grant & Co., Inc. AWCs (Letters of Acceptance, Waiver, and Co… | 07/01/2020

AWCs (Letters of Acceptance, Waiver, and Consent): Leonard J. Marzocco AWCs (Letters of Acceptance, Waiver, and Consent)… | 07/01/2020

AWCs (Letters of Acceptance, Waiver, and Consent): Avanza Capital Markets Inc. AWCs (Letters of Acceptance, Waiver, and C… | 07/01/2020

AWCs (Letters of Acceptance, Waiver, and Consent): John G. Kallis AWCs (Letters of Acceptance, Waiver, and Consent)… | 07/01/2020

OHO Decisions: PRIMEX PRIME ELECTRONIC EXECUTION, INC. d/b/a PRIMEX WILFREDO FELIX OH… | 07/01/2020

Notices: Regulatory Notice 20-21 FINRA Provides Guidance on Retail Communicatio… | 07/01/2020

AWCs (Letters of Acceptance, Waiver, and Consent): Timothy Patrick McLanahan AWCs (Letters of Acceptance, Waiver, and Con… | 07/01/2020

AWCs (Letters of Acceptance, Waiver, and Consent): Robert J. McNamara AWCs (Letters of Acceptance, Waiver, and Consent)… | 07/01/2020

 
 
 
FRS
 
 
 
 
 
 

Proposed Rule: Loans in Areas Having Special Flood Hazards; Interagency Questions and… | 07/06/2020

Notice: Change in Bank Control Notices; Acquisitions of Shares of a Bank or Ba… | 07/06/2020

Notice: Formations of, Acquisitions by, and Mergers of Bank Holding Companies… | 07/06/2020

Notice: Change in Bank Control Notices; Acquisitions of Shares of a Bank or Ba… | 07/02/2020

Press Release: Federal Reserve Board issues enforcement action with Putnam County Ban… | 07/02/2020

Notice: Formations of, Acquisitions by, and Mergers of Bank Holding Companies… | 07/02/2020

Press Release: Federal Open Market Committee announces its tentative meeting schedule… | 07/02/2020

Press Release: Targeted Resolution Plan template letter (PDF) – Agencies provide larg… | 07/01/2020

Press Release: Minutes of the Federal Open Market Committee, June 9-10, 2020… | 07/01/2020

Final Rule: Margin and Capital Requirements for Covered Swap Entities… | 07/01/2020

 
 
 
FTC
 
 
 
 
 
 

Event: Information Security and Financial Institutions: FTC Workshop to Exami… | 07/03/2020

Event: Information Security and Financial Institutions: FTC Workshop to Exami… | 07/03/2020

Event: Information Security and Financial Institutions: FTC Workshop to Exami… | 07/03/2020

Event: PrivacyCon 2020 — Download the Agenda (192.96 KB)… | 07/03/2020

Event: PrivacyCon 2020 — Examining the Adoption and Abandonment of Security,… | 07/03/2020

Event: PrivacyCon 2020 — Security Certification in Payment Card Industry: Te… | 07/03/2020

Event: PrivacyCon 2020 — Unaccounted Privacy Violation: A Comparative Analys… | 07/03/2020

Event: PrivacyCon 2020 — An Empirical Analysis of Data Deletion and Opt-Out … | 07/03/2020

Event: PrivacyCon 2020 — (Un)informed Consent: Studying GDPR Consent Notices… | 07/03/2020

Event: PrivacyCon 2020 — How Much Is Privacy Worth Around the World and Acro… | 07/03/2020

 
 
 
Freddie
 
 
 
 

Bulletin: Bulletin 2020-26 Selling Updates… | 07/01/2020

 
 
 
INT-EC
 
 
 
 

News: European payments: The European Commission welcomes the initiative by … | 07/02/2020

News: Anti-Money Laundering: Commission decides to refer Austria, Belgium an… | 07/02/2020

Public Consultations: Review of prudential rules for insurance and reinsurance companies (So… | 07/01/2020

 
 
 
INT-FATF
 
 
 
 

Publication: Objectives for the FATF during the German Presidency (2020-2022)… | 07/01/2020

Publication: Outcomes FATF Virtual Plenary, 24 June 2020… | 06/30/2020

Publication: High-Risk Jurisdictions subject to a Call for Action – 30 June 2020… | 06/30/2020

Publication: Public consultation on FATF’s Recommendation 1 and its Interpretive No… | 06/30/2020

Publication: Jurisdictions under Increased Monitoring – 30 June 2020… | 06/30/2020

Publication: Xiangmin Liu’s End of Presidency Statement… | 06/30/2020

 
 
 
INT-FSB
 
 
 
 

News: FSB statement on the impact of COVID-19 on global benchmark reform… | 07/01/2020

Agency Update: RCG for the Americas Working Group on Non-Bank Intermediation: Fifth R… | 06/30/2020

Agency Update: RCG for the Americas Working Group on Non-Bank Intermediation: Fifth R… | 06/30/2020

Agency Update: RCG for the Americas Working Group on Non-Bank Intermediation: Fifth R… | 06/30/2020

 
 
 
NCUA
 
 
 
 

Proposed Rule: Loans in Areas Having Special Flood Hazards; Interagency Questions and… | 07/06/2020

Notice: Strategies for Future Examination and Supervision Utilizing Digital Te… | 07/01/2020

Notice: Sunshine Act Meetings… | 06/30/2020

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

 
 
 
NYSE
 
 
 
 

Notice: Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of … | 07/06/2020

Notice: Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of … | 06/30/2020

Notice: Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of … | 06/30/2020

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

 
 
 
OCC
 
 
 
 

Proposed Rule: Loans in Areas Having Special Flood Hazards; Interagency Questions and… | 07/06/2020

News Release: News Release 2020-87… | 07/02/2020

News Release: News Release 2020-88… | 07/02/2020

Final Rule: Margin and Capital Requirements for Covered Swap Entities… | 07/01/2020

Final Rule: Margin and Capital Requirements for Covered Swap Entities… | 07/01/2020

Proposed Rule: Credit Risk Retention-Notification of Commencement of Review; Extensio… | 06/30/2020

News Release: News Release 2020-86… | 06/29/2020

 
 
 
OFAC
 
 
 
 

Notice: Notice of OFAC Sanctions Actions… | 07/06/2020

Financial Sanction: Revocation of Venezuela-related General License; Venezuela-related Des… | 07/02/2020

Notice: Notice of OFAC Sanctions Actions… | 07/01/2020

Financial Sanction: Publication of Xinjiang Supply Chain Business Advisory… | 07/01/2020

Notice: Notice of OFAC Sanctions Actions… | 07/01/2020

Financial Sanction: Reminder to file the 2020 Annual Report of Blocked Property… | 07/01/2020

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

 
 
 
SEC
 
 
 
 
 
 
 
 

Notice: Sunshine Act Meetings… | 07/06/2020

Notice: Sunshine Act Meeting; Cancellation… | 07/06/2020

Notice: Self-Regulatory Organizations; BOX Exchange LLC; Notice of Filing and … | 07/06/2020

Notice: Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and… | 07/06/2020

Notice: Self-Regulatory Organizations; NYSE Chicago, Inc.; Notice of Filing an… | 07/06/2020

Notice: Order Under Section 17(h)(4) of the Securities Exchange Act of 1934 Gr… | 07/06/2020

Notice: Self-Regulatory Organizations; NYSE National, Inc.; Notice of Filing a… | 07/06/2020

Notice: Self-Regulatory Organizations; ICE Clear Europe Limited; Order Approvi… | 07/06/2020

Notice: Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of … | 07/06/2020

Notice: Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and I… | 07/06/2020

 
 
 
TREAS
 
 
 
 

News: U.S. Department of the Treasury… | 07/02/2020

News: U.S. Department of the Treasury… | 07/02/2020

Final Rule: Implementation of the Agreement Between the United States of America, … | 07/01/2020

News: U.S. Department of the Treasury… | 07/01/2020

News: U.S. Department of the Treasury… | 06/30/2020

Notice: Water Infrastructure Finance and Innovation Act Program (WIFIA) Criter… | 06/30/2020

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

News: U.S. Department of the Treasury… | 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

 
 
 
UK-BOE
 
 
 
 

Agency Update: Statement on Bank’s commitment to combatting climate change… | 07/01/2020

News Release: Bank of International Settlements selects Bank of England to host an I… | 06/30/2020

News Release: Bank of International Settlements selects Bank of England to host an I… | 06/30/2020

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

 
 
 
UK-CMA
 
 
 
 
 
 

Correspondence: CMA and trade bodies’ joint statement against price gouging… | 07/03/2020

Press Release: COVID-19: CMA secures refunds from second major holiday lets firm… | 07/03/2020

Research: CMA coronavirus taskforce update: 3 July 2020… | 07/03/2020

News Story: Latest update from CMA COVID-19 taskforce… | 07/03/2020

Press Release: New regime needed to take on tech giants… | 07/01/2020

Press Release: CMA imposes =C2=A31.2m in fines for price-fixing in private eyecare… | 07/01/2020

News Story: Medical device suppliers’ merger raises competition concerns… | 06/30/2020

Press Release: Musical instrument firms to pay millions after breaking competition la… | 06/29/2020

 
 
 
UK-FCA
 
 
 
 
 
 
 
 
 
 

News: Union Bonds… | 07/06/2020

News: Investor Guard… | 07/06/2020

News: Bond Comparison Site… | 07/06/2020

News: AlphaPrime / Alphaprime.cash (clone of FCA authorised firm)… | 07/06/2020

News: Titanium Asset Management (Clone of an EEA authorised firm)… | 07/06/2020

Publication: Decision Notice 2020: Conor Martin Foley… | 07/03/2020

Policy and guidance Guidance consultations: Rent-to-own, buy-now pay-later and pawnbroking agreements and coronavi… | 07/03/2020

Publication: Rent-to-own, buy-now pay-later and pawnbroking agreements and coronavi… | 07/03/2020

Publication: Coronavirus (Covid-19) motor finance and high cost credit (No 2) instr… | 07/03/2020

Policy and guidance Guidance consultations: Rent-to-own, buy-now pay-later and pawnbroking agreements and coronavi… | 07/03/2020

 
 
 
UK-HMT
 
 
 
 
 
 
 
 

Press Release: =C2=A31.57 billion investment to protect Britain’s world-class cultural, ar… | 07/05/2020

News Story: Chancellor welcomes staff back as hospitality prepares to reopen… | 07/04/2020

Research: UK official holdings of international reserves: June 2020… | 07/03/2020

News Story: Robin Budenberg, CBE re-appointed as Chair of The Crown Estate Board… | 07/03/2020

News Story: HM Treasury extends tax cut to PPE costs… | 07/03/2020

Correspondence: Treasury Direction made by the Chancellor under Sections 71 and 76 of … | 07/02/2020

Guidance: HMT exceptions to cross-government moratoria on spending: Q4 January -… | 07/02/2020

Transparency: Government procurement card HMT spend greater than =C2=A3500: April 2020… | 07/02/2020

Transparency: HMT exceptions to cross-government moratoria on spending: Q3 October -… | 07/02/2020

Transparency: HMT exceptions to cross-government moratoria on spending: Q3 October t… | 07/02/2020

 
 
 
UK-ICO
 
 
 
 

Agency Update: Decision Technologies Limited… | 07/02/2020

Monetary penalties: Decision Technologies Limited — Decision Technologies Limited mpn… | 07/02/2020

 
 
 
UK-LSB
 
 
 
 

News: Coronavirus; working through it… | 07/03/2020

 
 
 
UK-PRA
 
 
 
 
 
 

PRA Regulatory Digest: PRA Regulatory Digest – June 2020… | 07/01/2020

Letter: Letter from Sam Woods ‘Managing climate-related financial risk – thema… | 07/01/2020

Letter: Letter from Sam Woods ‘Managing climate-related financial risk – thema… | 07/01/2020

Consultation paper: Solvency II technical information: The PRA’s proposed approach to the … | 06/30/2020

Statement: Statement by the PRA on the Capital Requirements Regulation (CRR) ‘Qui… | 06/30/2020

Consultation paper: Solvency II technical information: The PRA’s proposed approach to the … | 06/30/2020

Statement: Statement by the PRA on the Capital Requirements Regulation (CRR) ‘Qui… | 06/30/2020

Consultation paper: Solvency II technical information: The PRA’s proposed approach to the … | 06/30/2020

 
 
 
VA
 
 
 
 

Notice: Solicitation of Nomination for Appointment to the Advisory Committee o… | 07/01/2020

Proposed Rule: VA Acquisition Regulation: Loan Guaranty and Vocational Rehabilitation… | 06/30/2020

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

 

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