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

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FTC enforcements decreased 107% over the past 30 days

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OFAC issued enforcements: $752,177.00 over the past 30 days

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102 Final Rules go into effect in the next 30 days

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76 Mortgage Lending docs published in the last 7 days

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4929 docs with 12492 extracted obligations from the last 7 days

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

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12943 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

-

 
 
CA-CANLII
 
 
 
 

Agency Update: Critical Habitat of the Vananda Creek Benthic Threespine Stickleback (… | 03/12/2020

Agency Update: Critical Habitat of the Paxton Lake Benthic Threespine Stickleback (Ga… | 03/12/2020

Agency Update: Critical Habitat of the Vananda Creek Limnetic Threespine Stickleback … | 03/12/2020

Agency Update: Critical Habitat of the Paxton Lake Limnetic Threespine Stickleback (G… | 03/12/2020

Agency Update: Critical Habitat of the Vancouver Lamprey (Entosphenus macrostomus) Or… | 03/12/2020

 
 
 
CA-OPC
 
 
 
 

Agency Update: Commissioner Therrien shares lessons learned from Statistics Canada in… | 03/12/2020

News: Announcement: Commissioner shares lessons learned from Statistics Cana… | 03/12/2020

News: Announcement: OPC blog post: The SIM card swap scam: What it is and wh… | 03/12/2020

News: Announcement: OPC has new tips to help Canadians fight fraud… | 03/09/2020

 
 
 
CA-OSFI
 
 
 
 

Guideline: Exigences de marge pour les d=C3=A9riv=C3=A9s non compens=C3=A9s centralement… | 03/11/2020

Guideline: Exigences de marge pour les d=C3=A9riv=C3=A9s non compens=C3=A9s centralement — Lett… | 03/11/2020

Guideline: Margin Requirements for Non-Centrally Cleared Derivatives — Letter – … | 03/11/2020

Guideline: Margin Requirements for Non-Centrally Cleared Derivatives — Letter – … | 03/11/2020

Guideline: Exigences de marge pour les d=C3=A9riv=C3=A9s non compens=C3=A9s centralement — Lett… | 03/11/2020

Guideline: Margin Requirements for Non-Centrally Cleared Derivatives — Guideline… | 03/11/2020

Guideline: Margin Requirements for Non-Centrally Cleared Derivatives… | 03/11/2020

Guideline: Exigences de marge pour les d=C3=A9riv=C3=A9s non compens=C3=A9s centralement — R=C3=A9su… | 03/11/2020

 
 
 
CFPB
 
 
 
 
 
 

Blog: Protect yourself financially from the impact of the coronavirus… | 03/13/2020

Report: Market Snapshot: First-time Homebuyers… | 03/12/2020

Blog: New report explores trends for first-time homebuyers… | 03/12/2020

Blog: Are you in the military and getting ready to do your taxes? Make sure … | 03/10/2020

Enforcement Action: Fifth Third Bank, National Association… | 03/09/2020

Enforcement Document: Fifth Third Bank, National Association Complaint… | 03/09/2020

Press release: Consumer Financial Protection Bureau Files Suit Against Fifth Third Ba… | 03/09/2020

 
 
 
CFTC
 
 
 
 

Notice: Agency Information Collection Activities: Notice of Intent To Renew Co… | 03/10/2020

 
 
 
DOJ
 
 
 
 

Agency Update: Kick off Sunshine Week 2020 with the Department of Justice… | 03/11/2020

Final Rule: DNA-Sample Collection From Immigration Detainees… | 03/09/2020

 
 
 
DOL
 
 
 
 

Final Rule: Apprenticeship Programs, Labor Standards for Registration, Amendment o… | 03/11/2020

Notice: Agency Information Collection Activities; Submission for OMB Review; C… | 03/10/2020

Notice: Agency Information Collection Activities; Submission for OMB Review; C… | 03/10/2020

 
 
 
EOP
 
 
 
 

Presidential Document: Regarding the Acquisition of StayNTouch, Inc. by Beijing Shiji Informa… | 03/10/2020

Presidential Document: Delegation of Certain Functions and Authorities Under the National Def… | 03/09/2020

 
 
 
FDIC
 
 
 
 

News: Regulatory Relief… | 03/13/2020

News: Regulatory Relief
Supervisory Practices Regarding Depository Instituti… | 03/12/2020

News: Extension of Comment Period for RFI on How to Modernize Signage and Ad… | 03/11/2020

 
 
 
FINRA
 
 
 
 

AWCs (Letters of Acceptance, Waiver, and Consent): AWCs (Letters of Acceptance, Waiver, and Consent)… | 03/11/2020

Complaints: David R. Oakes Complaints… | 03/11/2020

Notice: Self-Regulatory Organizations; Financial Industry Regulatory Authority… | 03/11/2020

 
 
 
FRS
 
 
 
 
 
 

Consumer Affairs Letters: SR 20-4 / CA 20-3 Supervisory Practices Regarding Financial Institutio… | 03/13/2020

Final Rule: Regulation A: Extensions of Credit by Federal Reserve Banks… | 03/10/2020

Consumer Affairs Letters: SR 20-3 / CA 20-2 Interagency Statement on Pandemic Planning… | 03/10/2020

Final Rule: Regulation D: Reserve Requirements of Depository Institutions… | 03/10/2020

Notice: Change in Bank Control Notices; Acquisitions of Shares of a Bank or Ba… | 03/10/2020

News: Agencies encourage financial institutions to meet financial needs of c… | 03/09/2020

 
 
 
FTC
 
 
 
 

Agency Update: International Monthly: March 2020… | 03/14/2020

News: Federal Trade Commission Cancels March 18 Workshop on Draft Vertical M… | 03/13/2020

News: Premerger Notification Office Implements Temporary e-Filing System… | 03/13/2020

News: Cmr. Wilson keynote remarks at Vertical Guidelines Workshop… | 03/11/2020

News: Closed Commission Meeting… | 03/11/2020

Agency Update: consumer privacy
FTC Submits Comment on Final Information Blocking Rul… | 03/11/2020

News: Cmr. Phillips participates in roundtable, =E2=80=9CHow can increased competiti… | 03/10/2020

News: Cmr. Phillips participates in roundtable, =E2=80=9CHow can increased competiti… | 03/10/2020

News: Directions & Nearby… | 03/10/2020

News: Directions & Nearby… | 03/10/2020

 
 
 
INT-FSB
 
 
 
 

Agency Update: Peer Review of South Africa — PDF… | 03/16/2020

Agency Update: Peer Review of South Africa… | 03/16/2020

 
 
 
NCUA
 
 
 
 

Proposed Rule: Subordinated Debt… | 03/10/2020

 
 
 
NYSE
 
 
 
 

Notice: Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of … | 03/11/2020

Notice: Self-Regulatory Organizations; New York Stock Exchange LLC; NYSE Natio… | 03/10/2020

 
 
 
OCC
 
 
 
 

News Release: News Release 2020-31… | 03/12/2020

Comment: Community Reinvestment Act Regulations; Public Submission; Port Gamble… | 03/10/2020

Comment: Community Reinvestment Act Regulations; Public Submission; Institute o… | 03/10/2020

Comment: Community Reinvestment Act Regulations; Public Submission; Fair Housin… | 03/10/2020

Comment: Community Reinvestment Act Regulations; Public Submission; Cherie Anon… | 03/10/2020

Comment: Community Reinvestment Act Regulations; Request for Public Input; Publ… | 03/10/2020

Comment: Community Reinvestment Act Regulations; Public Submission; Anonymous A… | 03/10/2020

Comment: Community Reinvestment Act Regulations; Public Submission; Franklin Co… | 03/10/2020

Comment: Community Reinvestment Act Regulations; Public Submission; Heights Com… | 03/10/2020

Comment: Community Reinvestment Act Regulations; Public Submission; Anonymous A… | 03/10/2020

 
 
 
OFAC
 
 
 
 

Financial Sanction: Venezuela-related Designation; Issuance of Amended Venezuela-related G… | 03/12/2020

Financial Sanction: Kingpin Act Designations and Designations Updates; Zimbabwe Designatio… | 03/11/2020

Final Rule: Removal of Terrorism Sanctions Regulations… | 03/10/2020

Notice: Notice of OFAC Sanctions Action(s)… | 03/09/2020

Financial Sanction: Removal of the Terrorism Sanctions Regulations… | 03/09/2020

 
 
 
SEC
 
 
 
 
 
 

Agency Update: [Release No. 34-88168; File No. SR-NYSE-2020-05]… | 03/13/2020

News: Division of Corporation Finance Chief Accountant and Disclosure Review… | 03/12/2020

News: Statement on Amendments to Reduce Unnecessary Burdens on Smaller Issue… | 03/12/2020

Agency Update: [Release No. 34-88211; File No. SR-NYSENAT-2020-05]… | 03/12/2020

News: Amendments to Reduce Unnecessary Burdens on Smaller Issuers by More Ap… | 03/12/2020

News: SEC Adopts Amendments to Reduce Unnecessary Burdens on Smaller Issuers… | 03/12/2020

News: Statement on the Rollback of Auditor Attestation Requirements… | 03/12/2020

News: SEC Wins Jury Trial Against Microcap Fraudsters… | 03/12/2020

News: SEC Adopts Investor Disclosure Improvements for Variable Annuities and… | 03/11/2020

Notice: Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Designation … | 03/11/2020

 
 
 
TREAS
 
 
 
 
 
 

News: U.S. Department of the Treasury… | 03/12/2020

News: U.S. Department of the Treasury… | 03/12/2020

News: U.S. Department of the Treasury… | 03/12/2020

Agency Update: U.S. Department of the Treasury… | 03/12/2020

News: U.S. Department of the Treasury… | 03/12/2020

News: U.S. Department of the Treasury… | 03/11/2020

News: U.S. Department of the Treasury… | 03/11/2020

News: U.S. Department of the Treasury… | 03/11/2020

News: U.S. Department of the Treasury… | 03/10/2020

Proposed Rule: Filing Fees for Notices of Certain Investments in the United States by… | 03/09/2020

 
 
 
UK-BOE
 
 
 
 
 
 

News: Statement from the Governor of the Bank of England, Mark Carney, and i… | 03/15/2020

News: Coordinated central bank action to enhance the provision of global U.S… | 03/15/2020

Agency Update: Statement from the Governor of the Bank of England, Mark Carney, and i… | 03/15/2020

News Release: Coordinated central bank action to enhance the provision of global U.S… | 03/15/2020

News Release: Press release… | 03/15/2020

News Release: Coordinated central bank action to enhance the provision of global U.S… | 03/15/2020

Agency Update: Open data for SME finance: what we proposed and what we have learnt… | 03/13/2020

News: Minutes of the special Monetary Policy Committee meeting ending on 10 … | 03/13/2020

Monetary Policy Committee: Minutes of the special Monetary Policy Committee meeting ending on 10 … | 03/13/2020

Monetary Policy Committee: Minutes of the special Monetary Policy Committee meeting ending on 10 … | 03/13/2020

 
 
 
UK-CMA
 
 
 
 

Guidance: Digital markets taskforce: terms of reference… | 03/11/2020

Press Release: CMA welcomes Court of Appeal judgment in Phenytoin case… | 03/10/2020

 
 
 
UK-FCA
 
 
 
 
 
 

Meeting minutes: FCA Board Minutes: 29 and 30 January 2020… | 03/12/2020

News: Silicon Valley Bank (clone of authorised firm)… | 03/12/2020

News: ING Investment Bank / ING Bank (clone of EEA authorised firm)… | 03/12/2020

News: Fortune Trade FX (clone of authorised firm)… | 03/12/2020

News: BlackRock Advisors (UK) Ltd (clone of authorised firm)… | 03/12/2020

News: Quilter Cheviot Investment Management / Quilter plc / Quilter Private … | 03/12/2020

News: TrustFX… | 03/12/2020

News: Titan Global Finance (clone of UK registered public company)… | 03/12/2020

News: Town Loans (clone of authorised firm)… | 03/12/2020

News: Paddington Wealth… | 03/12/2020

 
 
 
UK-HMT
 
 
 
 
 
 
 
 
 
 

Speech: Economic secretary speech to the ABCUL… | 03/13/2020

News Story: BEIS in the budget… | 03/13/2020

News Story: Chancellor and Bank of England Governor hold Coronavirus banking indus… | 03/13/2020

Policy Paper: West Yorkshire devolution deal… | 03/13/2020

Press Release: Chancellor’s first Budget brings =C2=A3360 million boost for Welsh Governme… | 03/12/2020

News Story: Budget brings =C2=A3640 million boost for Scottish Government… | 03/12/2020

Policy Paper: Budget 2020: documents… | 03/12/2020

National Statistics: GDP deflators at market prices, and money GDP March 2020 (Budget)… | 03/12/2020

Open Consultation: Market access arrangements for financial services between the UK and G… | 03/11/2020

Open Consultation: Public Works Loan Board: Future lending terms consultation… | 03/11/2020

 
 
 
UK-ICO
 
 
 
 

News: Council employee fined =C2=A3400 for illegally deleted audio file… | 03/13/2020

Agency Update: Nicola Young… | 03/13/2020

News: Data protection and coronavirus… | 03/12/2020

News: Don=E2=80=99t get caught out when it comes to pupil photos… | 03/09/2020

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

Follow up audit: United Learning Trust… | 03/09/2020

 
 
 
UK-LSB
 
 
 
 

News: LSB COVID-19 Statement… | 03/11/2020

 
 
 
UK-PRA
 
 
 
 

Policy statement: Solvency II: Adjusting for the reduction of loss absorbency where own … | 03/16/2020

Policy statement: Solvency II: Adjusting for the reduction of loss absorbency where own … | 03/16/2020

Statement: Statement by the PRA accompanying measures announced by the Financial … | 03/11/2020

Policy statement: Regulatory capital instruments: update to Pre-Issuance Notification (P… | 03/10/2020

Policy statement: Regulatory capital instruments: update to Pre-Issuance Notification (P… | 03/10/2020

 
 
 
VA
 
 
 
 

Circular: Circular 26-20-5 – Special Relief Following Tennessee Severe Storms, T… | 03/12/2020

News: This newsflash provides information on Circular 26-20-5, Non-Matching … | 03/12/2020

Notice: Agency Information Collection Activity: Casket and Urn Reimbursement… | 03/11/2020

Notice: Agency Information Collection Activity: Availability of Educational, L… | 03/11/2020

News: This announcement provides information on the upcoming system maintena… | 03/09/2020

 

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