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

-

OFAC enforcements increased 50% over the past 30 days

-

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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42 Mortgage Lending docs published in the last 7 days

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149 docs with 7429 extracted obligations from the last 7 days

-

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

-

6910 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

-

Agency Report Mar 02-09

 
 
CA-OPC
 
 
 
 

Agency Update: OPC updates guide to the privacy impact assessment process… | 03/04/2020

News: Announcement: OPC updates guidance to help federal public sector insti… | 03/03/2020

 
 
 
CFPB
 
 
 
 

Press release: CFPB Takes Key Steps to Prevent Consumer Harm; Proposes Whistleblower … | 03/06/2020

Proposed Rule: Debt Collection Practices (Regulation F)… | 03/03/2020

 
 
 
CFTC
 
 
 
 

Notice: Energy and Environmental Markets Advisory Committee… | 03/06/2020

 
 
 
DOJ
 
 
 
 

Notice: Agency Information Collection Activities: Proposed Collection; Comment… | 03/05/2020

Agency Update: Fiscal Year 2019 FOIA Data Available… | 03/04/2020

Notice: Notice of Lodging of Proposed Consent Decree Under the Clean Water Act… | 03/04/2020

Notice: Clarifying Lawful Overseas Use of Data Act; Attorney General Certifica… | 03/03/2020

Notice: Agency Information Collection Activities; Proposed eCollection eCommen… | 03/02/2020

Notice: Notice of Proposed Consent Decree Under the Clean Air Act… | 03/02/2020

 
 
 
DOL
 
 
 
 

Notice: Secretary’s Order 03-2020-Establishment of the Management Review Board… | 03/06/2020

Notice: Secretary’s Order 02-2020-Procedures for Appointment of Individuals to… | 03/06/2020

Notice: Secretary’s Order 01-2020-Delegation of Authority and Assignment of Re… | 03/06/2020

Notice: Guidance Documents… | 03/05/2020

 
 
 
EBSA
 
 
 
 

News: U.S. Department of Labor… | 03/05/2020

 
 
 
EOP
 
 
 
 

Presidential Document: Establishment of the Interagency Committee on Trade in Automotive Good… | 03/06/2020

Presidential Document: Delegation of Authority to Re-establish the Presidential Advisory Coun… | 03/06/2020

Presidential Document: Continuation of the National Emergency With Respect to Venezuela… | 03/06/2020

Presidential Document: Establishment of the Interagency Environment Committee for Monitoring … | 03/05/2020

Presidential Document: Continuation of the National Emergency With Respect to Zimbabwe… | 03/05/2020

Presidential Document: American Red Cross Month, 2020… | 03/04/2020

Presidential Document: Irish-American Heritage Month, 2020… | 03/04/2020

Presidential Document: National Consumer Protection Week, 2020… | 03/04/2020

Presidential Document: Women’s History Month, 2020… | 03/04/2020

Presidential Document: Suspension of Entry as Immigrants and Nonimmigrants of Certain Additio… | 03/04/2020

 
 
 
FDIC
 
 
 
 

Final Rule: Securitization Safe Harbor Rule… | 03/04/2020

 
 
 
FINCEN
 
 
 
 

Enforcement: In the Matter of Michael LaFontaine… | 03/04/2020

 
 
 
FINRA
 
 
 
 

AWCs (Letters of Acceptance, Waiver, and Consent): Benjamin Kaz Fujihara AWCs (Letters of Acceptance, Waiver, and Consent… | 03/06/2020

Complaints: Raymond A. Thomas Complaints… | 03/06/2020

AWCs (Letters of Acceptance, Waiver, and Consent): Imran N. Razvi AWCs (Letters of Acceptance, Waiver, and Consent)… | 03/04/2020

AWCs (Letters of Acceptance, Waiver, and Consent): Andre Pierre Davis AWCs (Letters of Acceptance, Waiver, and Consent)… | 03/03/2020

AWCs (Letters of Acceptance, Waiver, and Consent): Steven S. Maher, Sr. AWCs (Letters of Acceptance, Waiver, and Consent)… | 03/03/2020

AWCs (Letters of Acceptance, Waiver, and Consent): Billy Hai Zhang AWCs (Letters of Acceptance, Waiver, and Consent)… | 03/03/2020

AWCs (Letters of Acceptance, Waiver, and Consent): Louis Cook AWCs (Letters of Acceptance, Waiver, and Consent)… | 03/03/2020

AWCs (Letters of Acceptance, Waiver, and Consent): Chad P. Meyer AWCs (Letters of Acceptance, Waiver, and Consent)… | 03/02/2020

 
 
 
FRS
 
 
 
 

Notice: Formations of, Acquisitions by, and Mergers of Bank Holding Companies… | 03/06/2020

Notice: Change in Bank Control Notices; Acquisitions of Shares of a Bank or Ba… | 03/06/2020

News: Federal Reserve Board announces termination of enforcement actions wit… | 03/05/2020

News: 2020 National Interagency Community Reinvestment Conference is postpon… | 03/05/2020

News: Comprehensive Capital Analysis and Review 2020 Summary Instructions (P… | 03/04/2020

News: Federal Reserve Board approves rule to simplify its capital rules for … | 03/04/2020

News: Statement by Vice Chair for Supervision Quarles – Federal Reserve Boar… | 03/04/2020

News: Board memo (PDF) – Federal Reserve Board approves rule to simplify its… | 03/04/2020

Notice: Formations of, Acquisitions by, and Mergers of Bank Holding Companies… | 03/04/2020

News: Federal Register notice (PDF) – Federal Reserve Board approves rule to… | 03/04/2020

 
 
 
FTC
 
 
 
 

News: Vertical Merger Guidelines Workshop… | 03/06/2020

News: Vertical Merger Guidelines Workshop… | 03/06/2020

Proposed Rule: Public Workshop Examining Information Security for Financial Instituti… | 03/06/2020

News: Affiliate Marketers to Pay More Than $4 Million to Settle Charges that… | 03/05/2020

News: Marketers of Pain Relief Device Settle FTC False Advertising Complaint… | 03/04/2020

News: Cmr. Phillips keynote remarks at =E2=80=9CWhat’s Ahead? A Forum on Advertising… | 03/03/2020

News: Cmr. Phillips keynote remarks at =E2=80=9CWhat’s Ahead? A Forum on Advertising… | 03/03/2020

News: Cmr. Slaughter appears at Understanding Digital Markets: Innovation, I… | 03/03/2020

News: Cmr. Slaughter appears at Understanding Digital Markets: Innovation, I… | 03/03/2020

News: FTC, FDA to Hold Workshop on Promoting Competition in Markets for Biol… | 03/03/2020

 
 
 
Freddie
 
 
 
 

Bulletin: Bulletin 2020-3 Selling… | 03/04/2020

 
 
 
INT-BIS
 
 
 
 

Agency Update: Financial Crises and Innovation… | 03/05/2020

Agency Update: Foreign banks, liquidity shocks, and credit stability… | 03/03/2020

 
 
 
INT-EC
 
 
 
 

News: February issue of newsletter is out!… | 03/02/2020

 
 
 
OCC
 
 
 
 

Comment: Community Reinvestment Act Regulations; Public Submission; Resources f… | 03/02/2020

Comment: Community Reinvestment Act Regulations; Public Submission; Metropolita… | 03/02/2020

Comment: Community Reinvestment Act Regulations; Public Submission; Jared Payne… | 03/02/2020

Comment: Community Reinvestment Act Regulations; Public Submission; Knoxville C… | 03/02/2020

Comment: Community Reinvestment Act Regulations; Public Submission; Len Suzio… | 03/02/2020

Comment: Community Reinvestment Act Regulations; Public Submission; Thomas Kell… | 03/02/2020

Comment: Community Reinvestment Act Regulations; Public Submission; Thai Commun… | 03/02/2020

Comment: Community Reinvestment Act Regulations; Public Submission; Elisa Pluha… | 03/02/2020

Comment: Community Reinvestment Act Regulations; Public Submission; Toi Jones… | 03/02/2020

Comment: Community Reinvestment Act Regulations; Public Submission; Association… | 03/02/2020

 
 
 
OFAC
 
 
 
 

Notice: Notice of OFAC Sanctions Actions… | 03/06/2020

Financial Sanction: Issuance of Iran-related Frequently Asked Question Related to Humanita… | 03/06/2020

Notice: Notice of OFAC Sanctions Actions… | 03/05/2020

Press Release: Nicaragua-related Designations; Issuance of Nicaragua-related General … | 03/05/2020

Financial Sanction: Nicaragua-related Designations; Issuance of Nicaragua-related General … | 03/05/2020

Notice: Notice of OFAC Sanctions Action… | 03/05/2020

Financial Sanction: Nicaragua-related Designations; Issuance of Nicaragua-related General … | 03/05/2020

Financial Sanction: Cyber-related Designations; North Korea Designations; North Korea Desi… | 03/02/2020

Press Release: Cyber-related Designations; North Korea Designations; North Korea Desi… | 03/02/2020

 
 
 
RHS
 
 
 
 

Notice: Rural Community Development Initiative (RCDI) for Fiscal Year 2020… | 03/04/2020

 
 
 
SEC
 
 
 
 
 
 

Notice: Sunshine Act Meetings… | 03/06/2020

Enforcement: Tomer Feingold and Dov Malnik… | 03/06/2020

Notice: Self-Regulatory Organizations; BOX Exchange LLC; Notice of Filing of A… | 03/06/2020

Enforcement: Todays Growth Consultant Inc. and Kenneth D. Courtright, III… | 03/06/2020

Notice: Sunshine Act Meeting; Cancellation… | 03/06/2020

Notice: Self-Regulatory Organizations; The Options Clearing Corporation; Order… | 03/06/2020

Enforcement: David G. Dreslin, et al…. | 03/06/2020

Notice: Request for Comments on Fund Names… | 03/06/2020

Notice: Self-Regulatory Organizations; ICE Clear Europe Limited; Notice of Fil… | 03/06/2020

Notice: Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Fil… | 03/06/2020

 
 
 
TREAS
 
 
 
 

News: U.S. Department of the Treasury… | 03/05/2020

News: U.S. Department of the Treasury… | 03/04/2020

News: U.S. Department of the Treasury… | 03/03/2020

News: U.S. Department of the Treasury… | 03/03/2020

News: U.S. Department of the Treasury… | 03/02/2020

News: U.S. Department of the Treasury… | 03/02/2020

News: U.S. Department of the Treasury… | 03/02/2020

 
 
 
UK-BOE
 
 
 
 
 
 

News: The grand unifying theory (and practice) of macroprudential policy – s… | 03/05/2020

Agency Update: Bank of England Weekly Report 4 March 2020… | 03/05/2020

Agency Update: Monthly Decision Maker Panel data – February 2020… | 03/05/2020

Agency Update: Monthly Decision Maker Panel data – February 2020… | 03/05/2020

Weekly report: Bank of England Weekly Report 4 March 2020 — Further details about th… | 03/05/2020

Weekly report: Bank of England Weekly Report 4 March 2020 — View and download histor… | 03/05/2020

Weekly report: Bank of England Weekly Report 4 March 2020 — Changes to the Bank’s we… | 03/05/2020

Weekly report: Weekly report… | 03/05/2020

Weekly report: Bank of England Weekly Report 4 March 2020 — Weekly report… | 03/05/2020

Weekly report: Bank of England Weekly Report 4 March 2020… | 03/05/2020

 
 
 
UK-CMA
 
 
 
 

News Story: CMA statement on sales and pricing practices during Coronavirus outbre… | 03/05/2020

Press Release: Over =C2=A33m in fines and =C2=A31m for NHS in CMA pharma probe… | 03/04/2020

Promotional: Understanding Digital Markets: Innovation, investment and competition … | 03/02/2020

 
 
 
UK-FCA
 
 
 
 
 
 

Consultation papers: CP20/4: Quarterly Consultation Paper No 27… | 03/06/2020

Consultation papers: CP20/4: Quarterly Consultation No 27… | 03/06/2020

Consultation papers: CP20/3: Proposals to enhance climate-related disclosures by listed iss… | 03/06/2020

Consultation papers: CP20/4: Quarterly Consultation Paper No 27 — CP20/4: Quarterly Consul… | 03/06/2020

Consultation papers: Show CP20/3 (PDF)… | 03/06/2020

News: FCA announces proposals to improve climate-related disclosures by list… | 03/06/2020

Consultation papers: CP20/3: Proposals to enhance climate-related disclosures by listed iss… | 03/06/2020

News: Unstable coins: cryptoassets, financial regulation and preventing fina… | 03/06/2020

Consultation papers: CP20/3: Proposals to enhance climate-related disclosures by listed iss… | 03/06/2020

News: Scam alert involving George.miller.coi1@gmail.com; Jason.cruz.santos.c… | 03/06/2020

 
 
 
UK-HMT
 
 
 
 

Research: UK official holdings of international reserves: February 2020… | 03/04/2020

Correspondence: Chancellor letter to Valdis Dombrovskis on financial services equivale… | 03/02/2020

 
 
 
UK-ICO
 
 
 
 
 
 

News: Combining privacy and innovation: ICO Sandbox six months on… | 03/09/2020

News: The ICO and the Office of the Australian Information Commissioner sign… | 03/05/2020

Audit: Guy’s and St Thomas’ NHS Foundation Trust — Executive summary of the … | 03/05/2020

Audit: Guy’s and St Thomas’ NHS Foundation Trust… | 03/05/2020

News: International airline fined =C2=A3500,000 for failing to secure its custome… | 03/04/2020

Monetary penalties: Cathay Pacific — Cathay Pacific monetary penalty notice… | 03/04/2020

Agency Update: Cathay Pacific… | 03/04/2020

News: Scottish company hit with maximum fine for making nearly 200 million n… | 03/02/2020

Agency Update: CRDNN Limited… | 03/02/2020

Monetary penalties: CRDNN Limited — CRDNN Limited monetary penalty notice… | 03/02/2020

 
 
 
UK-LSB
 
 
 
 

News: Emerging Risk Forum March 2020 — None… | 03/06/2020

News: Emerging Risk Forum March 2020… | 03/06/2020

 
 
 
UK-PRA
 
 
 
 

Letter: Letter from David Bailey, Anna Sweeney, Charlotte Gerken, and Sarah Br… | 03/04/2020

Letter: Letter from David Bailey, Anna Sweeney, Charlotte Gerken, and Sarah Br… | 03/04/2020

PRA Regulatory Digest: PRA Regulatory Digest – February 2020… | 03/02/2020

Policy statement: Liquidity: The PRA’s approach to supervising liquidity and funding ris… | 03/02/2020

Policy statement: Liquidity: The PRA’s approach to supervising liquidity and funding ris… | 03/02/2020

 
 
 
VA
 
 
 
 

Proposed Rule: Program of Comprehensive Assistance for Family Caregivers Improvements… | 03/06/2020

Final Rule: Health Professional Scholarship Program… | 03/06/2020

Notice: Advisory Committee on Disability Compensation, Notice of Meeting, Amen… | 03/06/2020

Notice: Agency Information Collection Activity: VA Request for Determination o… | 03/06/2020

Notice: Agency Information Collection Activity: (State Cemetery Data Sheet and… | 03/06/2020

Notice: Agency Information Collection Activity: Compliance Inspection Report… | 03/06/2020

Notice: Agency Information Collection Activity: Application for Authority To C… | 03/04/2020

Notice: Special Medical Advisory Group, Notice of Meeting… | 03/03/2020

Notice: Advisory Committee on Disability Compensation, Notice of Meeting… | 03/03/2020

Notice: Veterans’ Family, Caregiver, and Survivor Advisory Committee, Notice o… | 03/02/2020

 

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