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

-

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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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

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

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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 23 - Mar 30

 
 
CA-CANLII
 
 
 
 

Agency Update: Pari-Mutuel Betting Supervision Regulations, SOR/91-365 [Modified on F… | 03/26/2020

Agency Update: Public Service Labour Relations Regulations, SOR/2005-79 [Modified on … | 03/26/2020

 
 
 
CA-OSFI
 
 
 
 

Letter: OSFI Actions to Address Operational Issues Stemming from COVID-19… | 03/27/2020

Letter: Mesures prises par le BSIF en r=C3=A9action aux difficult=C3=A9s op=C3=A9rationnelles… | 03/27/2020

 
 
 
CFPB
 
 
 
 
 
 

News: Lidiando con el coronavirus y deudas: Consejos para aliviar el impacto… | 03/27/2020

Blog: Beware of scams related to the coronavirus… | 03/27/2020

Press release: Consumer Financial Protection Bureau Issues Request for Information to… | 03/27/2020

Proposed Rule: Debt Collection Practices (Regulation F); Extension of Comment Period… | 03/27/2020

Blog: Lidiando con el coronavirus y deudas: Consejos para aliviar el impacto… | 03/27/2020

Comment: Debt Collection Practices (Regulation F); Public Submission; One True … | 03/26/2020

Blog: What you need to know about student loans and the coronavirus pandemic… | 03/26/2020

News: CFPB Provides Flexibility During COVID-19 Pandemic… | 03/26/2020

Speech: Director Kraninger Remarks During Financial Stability Oversight Counci… | 03/26/2020

Press release: Federal Agencies Encourage Banks, Savings Associations, and Credit Uni… | 03/26/2020

 
 
 
DOJ
 
 
 
 

Notice: Notice of Lodging of Proposed Consent Decree Under the Clean Water Act… | 03/30/2020

Notice: Notice of Lodging of Proposed Consent Decree Under the Comprehensive E… | 03/26/2020

Notice: Agency Information Collection Activities; Proposed eCollection eCommen… | 03/26/2020

Notice: Agency Information Collection Activities; Proposed eCollection eCommen… | 03/26/2020

Notice: Agency Information Collection Activities; Proposed eCollection eCommen… | 03/26/2020

Agency Update: Update on Operation Lady Justice: Task Force Continues Work to Address… | 03/24/2020

 
 
 
DOL
 
 
 
 

Notice: Agency Information Collection Activities; Submission for OMB Review; C… | 03/27/2020

Notice: Agency Information Collection Activities; Submission for OMB Review; C… | 03/27/2020

Notice: Agency Information Collection Activities; Submission for OMB Review; C… | 03/27/2020

Notice: Agency Information Collection Activities; Submission for OMB Review; C… | 03/27/2020

Notice: Agency Information Collection Activities; Submission for OMB Review; C… | 03/27/2020

Notice: Agency Information Collection Activities; Submission for OMB Review; C… | 03/26/2020

Notice: Agency Information Collection Activities; Submission for OMB Review; C… | 03/26/2020

Notice: Agency Information Collection Activities; Submission for OMB Review; C… | 03/24/2020

 
 
 
EOP
 
 
 
 

Presidential Document: Greek Independence Day: A National Day of Celebration of Greek and Ame… | 03/27/2020

Presidential Document: Providing Federal Support for Governors’ Use of the National Guard To … | 03/26/2020

Presidential Document: Preventing Hoarding of Health and Medical Resources To Respond to the … | 03/26/2020

Presidential Document: National Agriculture Day, 2020… | 03/26/2020

Presidential Document: Delegation of Functions Under 31 U.S.C. 5302… | 03/25/2020

Presidential Document: Prioritizing and Allocating Health and Medical Resources to Respond to… | 03/23/2020

 
 
 
FDIC
 
 
 
 

News: Statement on Part 363 Annual Reports in Response to the Coronavirus… | 03/27/2020

News: FDIC Updates Steps to Protect Banks and Consumers and to Continue Oper… | 03/27/2020

News: The FDIC Announces a 30-Day Grace Period for the Call Report for the F… | 03/26/2020

News: Statement Encouraging Responsible Small-Dollar Lending to Consumers an… | 03/26/2020

News: Temporary Alternative Procedures for Sending Supervision-Related Mail … | 03/26/2020

News: Statement by FDIC Chairman Jelena McWilliams before the Financial Stab… | 03/26/2020

News: Identification of Essential Critical Infrastructure Workers During the… | 03/26/2020

News: Interagency Webinar on the Statement on Loan Modifications and Reporti… | 03/25/2020

News: Request for 2019 Diversity Self-Assessments from FDIC-Regulated Financ… | 03/23/2020

Final Rule: Regulatory Capital Rule: Money Market Mutual Fund Liquidity Facility… | 03/23/2020

 
 
 
FFIEC
 
 
 
 

News: Press Release… | 03/25/2020

 
 
 
FINCEN
 
 
 
 

Agency Update: FIN-2020-A001… | 03/26/2020

 
 
 
FINRA
 
 
 
 
 
 

NAC Decisions: Merrimac Corporate Securities, Inc. Robert G. Nash NAC Decisions… | 03/27/2020

NAC Decisions: Louis Ottimo NAC Decisions… | 03/27/2020

AWCs (Letters of Acceptance, Waiver, and Consent): Arive Capital Markets, LLC AWCs (Letters of Acceptance, Waiver, and Co… | 03/27/2020

AWCs (Letters of Acceptance, Waiver, and Consent): Steven D. Rodemer AWCs (Letters of Acceptance, Waiver, and Consent)… | 03/26/2020

Notices: Information Notice – 3/26/20 Cybersecurity Alert: Measures to Consider… | 03/26/2020

AWCs (Letters of Acceptance, Waiver, and Consent): Ameritas Investment Company, LLC AWCs (Letters of Acceptance, Waiver, … | 03/25/2020

AWCs (Letters of Acceptance, Waiver, and Consent): Morgan Stanley Smith Barney LLC AWCs (Letters of Acceptance, Waiver, a… | 03/25/2020

Notice: Self-Regulatory Organizations; Financial Industry Regulatory Authority… | 03/25/2020

AWCs (Letters of Acceptance, Waiver, and Consent): Morgan Stanley Smith Barney LLC AWCs (Letters of Acceptance, Waiver, a… | 03/25/2020

Notice: Self-Regulatory Organizations; Financial Industry Regulatory Authority… | 03/25/2020

 
 
 
FRS
 
 
 
 
 
 

Notice: Change in Bank Control Notices; Acquisitions of Shares of a Bank or Ba… | 03/30/2020

Notice: Formations of, Acquisitions by, and Mergers of Bank Holding Companies… | 03/30/2020

News: Federal Register Notice: Regulatory Capital Rule: Revised Transition o… | 03/27/2020

Notice: Formations of, Acquisitions by, and Mergers of Bank Holding Companies… | 03/27/2020

SR Letter: Board of Governors of the Federal Reserve System… | 03/27/2020

Notice: Solicitation of Applications for Membership on the Community Advisory … | 03/27/2020

News: Agencies announce two actions to support lending to households and bus… | 03/27/2020

News: Federal Register Notice: Standardized Approach for Calculating the Exp… | 03/27/2020

Notice: Change in Bank Control Notices; Acquisitions of Shares of a Bank or Ba… | 03/26/2020

News: Federal agencies encourage banks, savings associations and credit unio… | 03/26/2020

 
 
 
FTC
 
 
 
 
 
 

Notice: Agency Information Collection Activities; Submission for OMB Review; C… | 03/30/2020

News: Weekly Calendar for March 30, 2020… | 03/30/2020

News: FTC Extends Comment Deadline for Endorsement Guides Review to June 22… | 03/27/2020

News: FTC Seeks Comments on Proposed Changes to the Energy Labeling Rule… | 03/27/2020

News: FTC to Resume Processing HSR Early Termination Requests on March 30… | 03/27/2020

News: FTC Gives Final Approval to Settlement with Stalking Apps Developer… | 03/27/2020

News: FTC Warns Nine VoIP Service Providers and Other Companies against ‘Ass… | 03/27/2020

News: FTC Chairman Joe Simons Outlines the Agency’s Approach to Safeguarding… | 03/26/2020

News: FTC Returns More than $3.1 Million to Victims of Student Loan Debt Rel… | 03/26/2020

Enforcement: FTC Returns More than $3.1 Million to Victims of Student Loan Debt Rel… | 03/26/2020

 
 
 
Freddie
 
 
 
 

Servicing Guide: Freddie S.G. All Resources… | 03/25/2020

Bulletin: Bulletin 2020-7 Servicing Requirements and Relief Related to COVID-19… | 03/25/2020

Bulletin: Bulletin 2020-7 Servicing Requirements and Relief Related to COVID-19… | 03/25/2020

Bulletin: Bulletin 2020-6 Servicing… | 03/25/2020

Bulletin: Bulletin 2020-6 Servicing… | 03/25/2020

Bulletin: Bulletin 2020-5 Temporary Selling Guidance Related to COVID-19… | 03/23/2020

Bulletin: Bulletin 2020-5 Selling Guidance Related to COVID-19… | 03/23/2020

Bulletin: Bulletin 2020-5 Selling Guidance Related to COVID-19… | 03/23/2020

 
 
 
INT-BIS
 
 
 
 

News: Governors and Heads of Supervision announce deferral of Basel III impl… | 03/27/2020

News: Governors and Heads of Supervision announce deferral of Basel III impl… | 03/27/2020

Agency Update: Inflation dynamics in Asia and the Pacific… | 03/25/2020

 
 
 
INT-EC
 
 
 
 

News: Indonesia and Norway are joining the International Platform on Sustain… | 03/25/2020

 
 
 
INT-IOSCO
 
 
 
 

Agency Update: OR01/2020 Global Stablecoin Initiatives… | 03/23/2020

 
 
 
NCUA
 
 
 
 

Proposed Rule: Corporate Credit Unions… | 03/27/2020

Notice: Submission for OMB Review; Comment Request… | 03/23/2020

 
 
 
NYSE
 
 
 
 

Notice: Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of … | 03/26/2020

Notice: Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of … | 03/26/2020

Notice: Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of … | 03/24/2020

Notice: Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of … | 03/24/2020

Notice: Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of … | 03/23/2020

Notice: Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of … | 03/23/2020

 
 
 
OCC
 
 
 
 
 
 

Notice: Mutual Savings Association Advisory Committee… | 03/30/2020

News Release: News Release 2020-42… | 03/27/2020

News Release: News Release 2020-43… | 03/27/2020

Comment: Community Reinvestment Act Regulations; Public Submission; Squirrel HI… | 03/26/2020

Comment: Community Reinvestment Act Regulations; Public Submission; Rebuilding … | 03/26/2020

Comment: Community Reinvestment Act Regulations; Public Submission; Alex Stavis… | 03/26/2020

Comment: Community Reinvestment Act Regulations; Public Submission; Tim Holz… | 03/26/2020

Comment: Community Reinvestment Act Regulations; Public Submission; PO Box 716… | 03/26/2020

Comment: Community Reinvestment Act Regulations; Public Submission; Ogden-Weber… | 03/26/2020

Comment: Community Reinvestment Act Regulations; Public Submission; Iowa Banker… | 03/26/2020

 
 
 
OFAC
 
 
 
 

Financial Sanction: Iran-related Designations; Counter Terrorism Designations… | 03/26/2020

Financial Sanction: Issuance of Amended Nicaragua-related General Licenses… | 03/25/2020

 
 
 
RHS
 
 
 
 

Notice: Notice of Request for Revision of a Currently Approved Information Col… | 03/26/2020

Notice: Notice of Request for Revision of a Currently Approved Information Col… | 03/23/2020

Notice: Notice of Solicitation of Applications for the Section 533 Housing Pre… | 03/23/2020

 
 
 
SEC
 
 
 
 
 
 
 
 

Notice: Proposed Collection; Comment Request… | 03/30/2020

Notice: Order Under Section 206a of the Investment Advisers Act of 1940 Granti… | 03/30/2020

Notice: Order Under Section 36 of the Securities Exchange Act of 1934 Modifyin… | 03/30/2020

Notice: Sunshine Act Meetings… | 03/30/2020

Notice: Order Under Section 6(C) and Section 38(A) of the Investment Company A… | 03/30/2020

Enforcement: Bryan Cohen… | 03/27/2020

Enforcement: Benjamin Kirkland… | 03/27/2020

Notice: Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Filing and I… | 03/27/2020

Notice: Investment Company Act of 1940; Order Under Sections 6(c), 12(d)(1)(J)… | 03/27/2020

Notice: Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Designat… | 03/26/2020

 
 
 
TREAS
 
 
 
 

Notice: Agency Information Collection Activities; Submission for OMB Review; C… | 03/30/2020

Notice: Agency Information Collection Activities; Submission for OMB Review; C… | 03/30/2020

Notice: Agency Information Collection Activities; Submission for OMB Review; C… | 03/30/2020

News: U.S. Department of the Treasury… | 03/27/2020

Notice: Agency Information Collection Activities; Submission for OMB Review; C… | 03/27/2020

News: U.S. Department of the Treasury… | 03/26/2020

Agency Update: Your Money and Coronavirus: Resources for Financial Relief… | 03/26/2020

News: U.S. Department of the Treasury… | 03/26/2020

News: U.S. Department of the Treasury… | 03/24/2020

News: U.S. Department of the Treasury… | 03/24/2020

 
 
 
UK-BOE
 
 
 
 
 
 
 
 

News: Minutes of the SONIA Stakeholder Advisory Group – 26 February 2020… | 03/27/2020

News: Professor Silvana Tenreyro reappointed to the Monetary Policy Committe… | 03/27/2020

Agency Update: Professor Silvana Tenreyro reappointed to the Monetary Policy Committe… | 03/27/2020

Minutes: Minutes of the SONIA Stakeholder Advisory Group – 26 February 2020 — … | 03/27/2020

Minutes: Minutes of the SONIA Stakeholder Advisory Group – 26 February 2020… | 03/27/2020

Agency Update: Professor Silvana Tenreyro reappointed to the Monetary Policy Committe… | 03/27/2020

Agency Update: Bank of England Weekly Report 25 March 2020… | 03/26/2020

News: Bank Rate maintained at 0.1% – March 2020… | 03/26/2020

Agency Update: Latest results from the Decision Maker Panel survey – 2020 Q1… | 03/26/2020

Agency Update: Agents summary of business conditions – 2020 Q1… | 03/26/2020

 
 
 
UK-CMA
 
 
 
 

Guidance: CMA approach to business cooperation in response to COVID-19… | 03/25/2020

News Story: CMA review of air traffic control charges… | 03/24/2020

 
 
 
UK-FCA
 
 
 
 
 
 

News: Go Compare the Bond Market / Gocomparethebondmarket.com (Clone of FCA … | 03/30/2020

News: Go365.io… | 03/30/2020

News: SWISS CAPITAL FM… | 03/30/2020

News: FMG Investment Holdings Ltd trading as ClearSpring Capital (Clone of E… | 03/27/2020

News: Trade99… | 03/27/2020

News: FCA and PSR respond to the CMA=E2=80=99s guidance on business cooperation unde… | 03/27/2020

Handbook: Handbook Notice 75… | 03/27/2020

News: Instant Loans Ltd (clone of UK registered public company)… | 03/27/2020

News: Work-related travel =E2=80=93 responsibilities of Senior Managers… | 03/27/2020

News: Identifying key financial workers =E2=80=93 responsibilities of Senior Manager… | 03/27/2020

 
 
 
UK-HMT
 
 
 
 
 
 
 
 

News Story: Professor Silvana Tenreyro reappointed to the Bank of England Monetary… | 03/27/2020

News Story: Further details of Coronavirus Job Retention Scheme announced… | 03/27/2020

Corporate Report: Government Annuities Investment Fund Account 2019… | 03/27/2020

News Story: Chancellor gives support to millions of self-employed individuals… | 03/26/2020

Guidance: Consolidated budgeting guidance 2020 to 2021… | 03/26/2020

Speech: Chancellor outlines new coronavirus support measures for the self-empl… | 03/26/2020

News Story: Covid-19: Estate agents, lettings agencies and bingo halls to pay no b… | 03/25/2020

Correspondence: Joint letter to the UK banks from HM Treasury, the Bank of England, an… | 03/25/2020

Transparency: OSCAR – publishing data from the database: March 2020… | 03/24/2020

Press Release: Extra protection for businesses with ban on evictions for commercial t… | 03/23/2020

 
 
 
UK-ICO
 
 
 
 

News: Statement in response to the use of mobile phone tracking data to help… | 03/28/2020

News: Community groups and COVID-19: what you need to know about data protec… | 03/26/2020

Audit: Bridgewater Community Healthcare NHS Foundation Trust… | 03/25/2020

Audit: Bridgewater Community Healthcare NHS Foundation Trust — Bridgewater C… | 03/25/2020

Audit: Wiltshire Police — Executive summary of the Wiltshire Police audit re… | 03/24/2020

Audit: Wiltshire Police… | 03/24/2020

 
 
 
UK-PRA
 
 
 
 
 
 

Policy statement: Financial Services Compensation Scheme – Management Expenses Levy Limi… | 03/27/2020

Policy statement: Financial Services Compensation Scheme – Management Expenses Levy Limi… | 03/27/2020

Policy statement: Financial Services Compensation Scheme – Management Expenses Levy Limi… | 03/27/2020

Letter: Letter from Sam Woods ‘Covid-19: IFRS 9, capital requirements and loan… | 03/26/2020

Statement: Joint statement by the FCA, FRC and PRA – Statement… | 03/26/2020

Consultation paper: Occasional Consultation Paper – March 2020 – Consultation Paper 3/20… | 03/26/2020

Statement: Joint statement by the FCA, FRC and PRA… | 03/26/2020

Letter: Letter from Sam Woods ‘Covid-19: IFRS 9, capital requirements and loan… | 03/26/2020

Consultation paper: Occasional Consultation Paper – March 2020… | 03/26/2020

Prudential Regulation: PRA Rulebook: Non Authorised Persons: FSCS Management Expenses Levy Li… | 03/25/2020

 
 
 
VA
 
 
 
 

Notice: Agency Information Collection Activity: Application for Supplemental S… | 03/30/2020

Notice: Agency Information Collection Activity: Nonsupervised Lender’s Nominat… | 03/27/2020

Final Rule: VA Acquisition Regulation: Acquisition of Commercial Items and Simplif… | 03/25/2020

Notice: Special Medical Advisory Group, Notice of Meeting-Cancellation… | 03/23/2020

 

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