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

-

FINRA enforcements Increased 59% over the past 30 days

-

SEC issued enforcements: $65,449,488.80 over the past 30 days

-

128 Final Rules go into effect in the next 30 days

-

21 Mortgage Lending docs published in the last 7 days

-

7596 docs with 9937 extracted obligations from the last 7 days

-

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

-

6040 new docs in pro.compliance.ai within the last 7 days

-

Considering RCM Solutions?  Here’s an RFP to get started.

-

Agency Report March 29-April 05

 
 
CAN-CANLII
 
 
 
 

Agency Update: Central Registry of Divorce Proceedings Regulations, SOR/86-600 [Modif… | 04/01/2021

Agency Update: Order Extending the Application of the Freezing Assets of Corrupt Fore… | 04/01/2021

Agency Update: Cross-border Movement of Hazardous Waste and Hazardous Recyclable Mate… | 04/01/2021

 
 
 
CAN-OPC
 
 
 
 

Agency Update: Commissioner submits views to Privacy Act consultation and Access to I… | 03/31/2021

 
 
 
CAN-OSFI
 
 
 
 

Letter: Le BSIF sollicite des commentaires sur la r=C3=A9vision du r=C3=A9gime des actif… | 03/29/2021

Letter: OSFI Seeks Comments on Revisions to the Vested Asset Regime for Foreig… | 03/29/2021

 
 
 
CFPB
 
 
 
 
 
 

Comment: Comment from NAFCU; Public Submission; NAFCU… | 04/02/2021

Blog: A complete guide to COVID-19 financial relief… | 04/02/2021

Comment: Comment from Wisconsin Credit Union League; Public Submission; Wiscons… | 04/01/2021

Blog: The CFPB is here to help consumers facing housing insecurity… | 04/01/2021

Press release: CFPB Compliance Bulletin Warns Mortgage Servicers: Unprepared is Unacc… | 04/01/2021

Press release: CFPB Rescinds Series Of Policy Statements To Ensure Industry Complies … | 03/31/2021

Proposed Rule: Semiannual Regulatory Agenda… | 03/31/2021

Notice: Request for Information and Comment on Financial Institutions’ Use of … | 03/31/2021

Supervisory Guidance: CFPB Bulletin 2021-01: Changes to Types of Supervisory Communications… | 03/31/2021

Press release: 2020 HMDA Data on Mortgage Lending Now Available… | 03/31/2021

 
 
 
CFTC
 
 
 
 

News: CFTC Charges Washington State Rancher and Feedyard with $233 Million P… | 03/31/2021

Enforcement: Complaint: Cody Easterday… | 03/31/2021

Proposed Rule: Regulatory Flexibility Agenda… | 03/31/2021

 
 
 
DOJ
 
 
 
 

Notice: Notice of Lodging of Proposed Consent Decree Under CERCLA… | 04/02/2021

Agency Update: Servicemembers and Veterans Initiative Women=E2=80=99s History Month 2021 Stat… | 03/31/2021

Notice: Agency Information Collection Activities; Proposed eCollection eCommen… | 03/31/2021

Notice: Notice of Lodging Proposed Consent Decree… | 03/30/2021

 
 
 
DOL
 
 
 
 

Proposed Rule: Semiannual agenda of regulations… | 03/31/2021

 
 
 
EBSA
 
 
 
 

Notice: Proposed Extension of Information Collection Requests Submitted for Pu… | 03/31/2021

Notice: Agency Information Collection Activities; Announcement of OMB Approval… | 03/31/2021

 
 
 
EOP
 
 
 
 

Presidential Document: C[eacute]sar Ch[aacute]vez Day, 2021… | 04/05/2021

Presidential Document: Continuation of the National Emergency With Respect to Somalia… | 04/05/2021

Presidential Document: Transgender Day of Visibility, 2021… | 04/05/2021

Presidential Document: Continuation of the National Emergency With Respect to South Sudan… | 03/30/2021

Presidential Document: Continuation of the National Emergency With Respect to Significant Mal… | 03/30/2021

Presidential Document: Greek Independence Day: A National Day of Celebration of Greek and Ame… | 03/29/2021

Presidential Document: National Equal Pay Day, 2021… | 03/29/2021

 
 
 
FDIC
 
 
 
 
 
 

Event: #Get Banked Part III: FDIC Helps Consumers Protect and Maintain Their … | 04/02/2021

Press Release: FDIC Issues List of Banks Examined for CRA Compliance… | 04/02/2021

Press Release: FDIC Issues List of Banks Examined for CRA Compliance — April 2021 Li… | 04/02/2021

Event: #Get Banked Part II: FDIC Helps Consumers Use Bank Accounts to Make Fi… | 04/02/2021

Event: #GetBanked Part I-FDIC Helps Unbanked Consumers Explore Opportunities … | 04/02/2021

Financial Institution Letter: FIL-25-2021 – Consolidated Reports of Condition and Income for First Q… | 04/02/2021

Speech: Statement by FDIC Chairman Jelena McWilliams at the Financial Stabilit… | 03/31/2021

Notice: Request for Information and Comment on Financial Institutions’ Use of … | 03/31/2021

Financial Institution Letter: FIL-24-2021 – Updated Webpage for Revised Interest Rate Restrictions A… | 03/31/2021

Financial Institution Letter: FIL-23-2021 – Webpage with Information on the Brokered Deposits Regula… | 03/31/2021

 
 
 
FFIEC
 
 
 
 

News: Press Release… | 03/30/2021

News: Press Release… | 03/30/2021

 
 
 
FINCEN
 
 
 
 

Proposed Rule: Beneficial Ownership Information Reporting Requirements… | 04/05/2021

News: FinCEN Announces Acting Director and New Deputy Director… | 04/02/2021

Comment: Comment on FR Doc # 2021-01918; Public Submission; NA… | 04/01/2021

Comment: Comment on FR Doc # 2020-28437; Public Submission; NA… | 04/01/2021

Comment: Comment on FR Doc # 2020-28437; Public Submission; NA… | 04/01/2021

Comment: Comment on FR Doc # 2020-28437; Public Submission; NA… | 04/01/2021

Comment: Comment on FR Doc # 2021-01918; Public Submission; NA… | 04/01/2021

Comment: Comment on FR Doc # 2021-01918; Public Submission; NA… | 04/01/2021

Comment: Comment on FR Doc # 2020-28437; Public Submission; NA… | 04/01/2021

Comment: Comment on FR Doc # 2020-28437; Public Submission; NA… | 04/01/2021

 
 
 
FINRA
 
 
 
 

Complaints: Alan Price Complaints… | 04/01/2021

OHO Decisions: Gregory J. Mancuso OHO Decisions… | 03/31/2021

AWCs (Letters of Acceptance, Waiver, and Consent): Ignacio Erhart Del Campo AWCs (Letters of Acceptance, Waiver, and Cons… | 03/31/2021

Complaints: Frank V. Sapareto Complaints… | 03/31/2021

AWCs (Letters of Acceptance, Waiver, and Consent): Candice E. Montie AWCs (Letters of Acceptance, Waiver, and Consent)… | 03/31/2021

AWCs (Letters of Acceptance, Waiver, and Consent): Jason V. McHenry AWCs (Letters of Acceptance, Waiver, and Consent)… | 03/31/2021

AWCs (Letters of Acceptance, Waiver, and Consent): Colin Woolford AWCs (Letters of Acceptance, Waiver, and Consent)… | 03/30/2021

AWCs (Letters of Acceptance, Waiver, and Consent): Gordon Bryan AWCs (Letters of Acceptance, Waiver, and Consent)… | 03/30/2021

AWCs (Letters of Acceptance, Waiver, and Consent): Merrill Lynch, Pierce, Fenner & Smith Incorporated AWCs (Letters of Ac… | 03/30/2021

AWCs (Letters of Acceptance, Waiver, and Consent): 7043791 AWCs (Letters of Acceptance, Waiver, and Consent)… | 03/30/2021

 
 
 
FRS
 
 
 
 
 
 

Notice: Formations of, Acquisitions by, and Mergers of Bank Holding Companies… | 04/05/2021

Notice: Change in Bank Control Notices; Acquisitions of Shares of a Bank or Ba… | 04/05/2021

Notice: Change in Bank Control Notices; Acquisitions of Shares of a Bank or Ba… | 04/01/2021

Notice: Formations of, Acquisitions by, and Mergers of Bank Holding Companies… | 03/31/2021

Press Release: Federal Reserve Board adopts final rule outlining and confirming the u… | 03/31/2021

Notice: Request for Information and Comment on Financial Institutions’ Use of … | 03/31/2021

Press Release: Federal Reserve Board publishes frequently asked questions (FAQs) comp… | 03/31/2021

Press Release: Role of Supervisory Guidance (PDF) – Federal Reserve Board adopts fina… | 03/31/2021

Notice: Formations of, Acquisitions by, and Mergers of Bank Holding Companies… | 03/31/2021

Notice: Formations of, Acquisitions by, and Mergers of Savings and Loan Holdin… | 03/31/2021

 
 
 
FTC
 
 
 
 
 
 
 
 

Motion: Administrative Law Judge’s Order Denying Motion for Interlocutory Appe… | 04/02/2021

Enforcement Order: Notice of Appearance filed by Counsel for Respondent GRAIL, Inc. (782…. | 04/01/2021

Complaint: Complaint (1.88 MB) BASF SE, In the Matter of (Administrative)… | 04/01/2021

Consent Order: Agreement Containing Consent Order with Respondents DIEM Labs, LLC, an… | 04/01/2021

Consumer Alert: ABCmouse Refunds… | 04/01/2021

Consent Order: Agreement Containing Consent Order with Respondents BASF SE and BASF C… | 04/01/2021

Consent Order: Analysis of Proposed Consent Order to Aid Public Comment (55.91 KB) BA… | 04/01/2021

Motion: Administrative Law Judge’s Second Order on Non-Parties’ Motions for In… | 04/01/2021

News: Companies Settle FTC Charges that They Deceptively Marketed Fish Oil S… | 04/01/2021

Event: Fourteenth Annual Federal Trade Commission Microeconomics Conference -… | 03/31/2021

 
 
 
Freddie
 
 
 
 

Bulletin: Bulletin 2021-11 Amended Senior Preferred Stock Purchase Agreement (PS… | 03/31/2021

News: Check Out the New Enhancements in Loan Coverage Advisor=C2=AE… | 03/31/2021

News: Announcing New and Upcoming Loan Selling Advisor=C2=AE Enhancements… | 03/30/2021

News: Coming Soon: Our Improved Data Analytics and Reporting Solution… | 03/29/2021

 
 
 
INT-BIS
 
 
 
 

Guidelines: Principles for operational resilience… | 03/31/2021

Guidelines: Revisions to the principles for the sound management of operational ri… | 03/31/2021

Working Paper: An empirical foundation for calibrating the G-SIB surcharge… | 03/31/2021

Press Release: Governors and Heads of Supervision meet to endorse strategic prioritie… | 03/31/2021

Press Release: Basel Committee issues principles for operational resilience and risk… | 03/31/2021

Working Paper: A global database on central banks’ monetary responses to Covid-19… | 03/30/2021

 
 
 
INT-EBA
 
 
 
 

Press Release: EU financial regulators warn of an expected deterioration of asset qua… | 03/31/2021

Press Release: EBA points to a rising share of loans that show a significant increase… | 03/31/2021

News: EBA launched public consultation on regulatory technical standards on … | 03/31/2021

Press Release: EBA reviews final Q&As against revised legislation… | 03/31/2021

Press Release: ESAs Joint Board of Appeal dismissed appeal by Appellant A against the… | 03/29/2021

 
 
 
INT-EC
 
 
 
 

News: The Commission launches a targeted consultation on instant payments… | 03/31/2021

Public Consultations: Instant payments… | 03/31/2021

News: The Commission launches a public consultation on instant payments… | 03/31/2021

News: The Commission launches a targeted consultation on instant payments… | 03/31/2021

News: The Commission launches a targeted consultation on instant payments… | 03/31/2021

News: The Commission launches a public consultation on instant payments… | 03/31/2021

News: Joint Statement on the U.S.-EU Joint Financial Regulatory Forum… | 03/30/2021

 
 
 
INT-FSB
 
 
 
 

Agency Update: Evaluation of the effects of too-big-to-fail reforms: Overview of Resp… | 03/31/2021

Agency Update: Evaluation of the effects of too-big-to-fail reforms: Final Report — … | 03/31/2021

Agency Update: Evaluation of the effects of too-big-to-fail reforms: Overview of Resp… | 03/31/2021

News: FSB publishes final report of the evaluation of too-big-to-fail reform… | 03/31/2021

Agency Update: Evaluation of the effects of too-big-to-fail reforms: Final Report… | 03/31/2021

Agency Update: Evaluation of the effects of too-big-to-fail reforms: Final Report — … | 03/31/2021

Agency Update: Evaluation of the effects of too-big-to-fail reforms: Overview of Resp… | 03/31/2021

Agency Update: Evaluation of the effects of too-big-to-fail reforms: Addendum to the … | 03/31/2021

News: The FSB in 2021: Addressing Financial Stability Challenges in an Age o… | 03/30/2021

 
 
 
INT-IOSCO
 
 
 
 

Media Release: IOSCO Technical Expert Group to undertake an assessment of the technic… | 03/30/2021

 
 
 
NCUA
 
 
 
 

Notice: Request for Information and Comment on Financial Institutions’ Use of … | 03/31/2021

Proposed Rule: Credit Union Service Organizations (CUSOs)… | 03/31/2021

 
 
 
NYSE
 
 
 
 

Notice: Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of … | 04/05/2021

Notice: Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of … | 04/01/2021

Notice: Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of … | 03/31/2021

Notice: Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of … | 03/29/2021

 
 
 
OCC
 
 
 
 
 
 

Notice: Agency Information Collection Activities: Revision of an Approved Info… | 04/02/2021

Bulletin: OCC 2021-18 Interest Rate Risk : Interest Rate Risk Statistics Report… | 04/01/2021

News Release: NR 2021-41 OCC Promotes April as National Financial Capability Month… | 04/01/2021

Notice: Request for Information and Comment on Financial Institutions’ Use of … | 03/31/2021

Bulletin: OCC 2021-17 Artificial Intelligence : Request for Information on Finan… | 03/31/2021

News Release: NR 2021-40 Acting Comptroller of the Currency Statement Regarding Clim… | 03/31/2021

Comment: Taproot Security; Public Submission; Taproot Security… | 03/30/2021

Bulletin: OCC 2021-16 Home Mortgage Disclosure Act : FFIEC’s 2021 ‘A Guide to HM… | 03/30/2021

Notice: Agency Information Collection Activities: Information Collection Renew… | 03/30/2021

Comment: Center for Capital Markets Competitiveness; Public Submission; U.S. Ch… | 03/29/2021

 
 
 
OFAC
 
 
 
 

Financial Sanction: Venezuela-related Designations Removals… | 03/31/2021

Notice: Notice of OFAC Sanctions Action… | 03/30/2021

Notice: Notice of OFAC Sanctions Action… | 03/30/2021

 
 
 
RHS
 
 
 
 

Notice: Notice of Request for Extension of a Currently Approved Information Co… | 03/30/2021

Notice: Notice of Request for Extension of a Currently Approved Information Co… | 03/30/2021

 
 
 
SEC
 
 
 
 
 
 

Notice: Self-Regulatory Organizations: Investors Exchange LLC; Notice of Filin… | 04/05/2021

Notice: Sunshine Act Meetings… | 04/05/2021

Notice: Self-Regulatory Organizations; ICE Clear Credit LLC; Notice of Filing … | 04/05/2021

Notice: Sunshine Act Meetings… | 04/05/2021

Final Rule: Holding Foreign Companies Accountable Act Disclosure… | 04/05/2021

Notice: Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of … | 04/05/2021

Notice: Self-Regulatory Organizations; Fixed Income Clearing Corporation; Noti… | 04/02/2021

Notice: Self-Regulatory Organizations; The Depository Trust Company; Notice of… | 04/02/2021

Notice: Self-Regulatory Organizations; National Securities Clearing Corporatio… | 04/02/2021

Enforcement: Carol J. Wayland… | 04/02/2021

 
 
 
TREAS
 
 
 
 
 
 
 
 

Press Release: Statement from Deputy Secretary Adeyemo on Leadership Announcement for… | 04/02/2021

Notice: Call for Nominations for Secretary Appointments to Treasury Tribal Adv… | 04/01/2021

Readout: READOUT: Secretary of the Treasury Janet L. Yellen’s Call with Ministe… | 04/01/2021

Notice: Comments in Aid of Analyses of the Terrorism Risk Insurance Program… | 04/01/2021

Press Release: FACT SHEET: How An Allocation of International Monetary Fund Special D… | 04/01/2021

Press Release: Treasury and IRS disburse more Economic Impact Payments under the Amer… | 04/01/2021

Final Rule: Imposition of Import Restrictions on Categories of Archaeological Mate… | 04/01/2021

Statement: Statement by Secretary of the Treasury Janet L. Yellen on the Presiden… | 04/01/2021

Readout: READOUT: Treasury Deputy Secretary Wally Adeyemo Joined Virtual Consul… | 04/01/2021

Press Release: READOUT: Treasury Deputy Secretary Wally Adeyemo Meeting with Thought … | 04/01/2021

 
 
 
UK-BOE
 
 
 
 
 
 

Agency Update: Bank of England Weekly Report 31 March 2021… | 04/01/2021

Museum: The great iron chest: a safe as safe as the Bank of England…… | 04/01/2021

Weekly report: Bank of England Weekly Report 31 March 2021 — View and download histo… | 04/01/2021

Weekly report: Bank of England Weekly Report 31 March 2021 — Changes to the Bank’s w… | 04/01/2021

Weekly report: Bank of England Weekly Report 31 March 2021 — Further details about t… | 04/01/2021

Agency Update: Monthly Decision Maker Panel data – March 2021… | 04/01/2021

Agency Update: Bank of England Flagship Seminar – Dr David Hamilton… | 03/31/2021

News: Bank of England Flagship Seminar – Dr David Hamilton… | 03/31/2021

Agency Update: Quarterly Bulletin – 2021 Q2 (to be published at 12pm)… | 03/30/2021

Agency Update: Agents’ summary of business conditions – 2021 Q2 (to be published at 1… | 03/29/2021

 
 
 
UK-CMA
 
 
 
 
 
 
 
 

Transparency: CMA: spending over =C2=A3500, February 2021 – [HTML]… | 04/01/2021

CMA Case: Energy Licence Modification Appeals 2021… | 04/01/2021

Transparency: CMA: spending over =C2=A325,000, February 2021 – [HTML]… | 04/01/2021

CMA Case: Facebook, Inc / Giphy, Inc merger inquiry… | 04/01/2021

Policy Paper: Transforming Public Procurement: Response from the Competition and Mar… | 03/31/2021

Policy Paper: CMA’s response to transforming public procurement… | 03/31/2021

Guidance: The Investment Consultancy and Fiduciary Management Market Investigati… | 03/31/2021

CMA Case: TVS Europe Distribution Limited / 3G Truck & Trailer Parts merger inqu… | 03/31/2021

CMA Case: JD Sports Fashion plc / Footasylum plc merger inquiry… | 03/31/2021

Guidance: Private Motor Insurance Market Investigation Order 2015… | 03/31/2021

 
 
 
UK-FCA
 
 
 
 
 
 
 
 

News: UK Investing… | 04/01/2021

News: Bond Comparisons UK… | 04/01/2021

News: Bond Comparisons UK… | 04/01/2021

News: Phoenix Vehicle Leasing… | 04/01/2021

Finalised guidance: Finalised Guidance: Cancellations and refunds: helping consumers with … | 04/01/2021

News: Blockchain Recovery Department (clone of FCA authorised firm)… | 04/01/2021

News: Blockchain Recovery Department (clone of FCA authorised firm)… | 04/01/2021

News: BondRaters… | 04/01/2021

News: JAY TRADES… | 04/01/2021

News: UK Investing… | 04/01/2021

 
 
 
UK-HMT
 
 
 
 
 
 
 
 

Guidance: Maritime guidance – [PDF]… | 04/01/2021

Guidance: HM Treasury Notice, 22/02/2021, ISIL (Da’esh) and Al-Qaida – [PDF]… | 04/01/2021

Guidance: Guidance for the charity sector – [PDF]… | 04/01/2021

Guidance: Indexation of public service pensions… | 04/01/2021

Guidance: Consolidated list – Change Notice – 31.12.2020 – [PDF]… | 04/01/2021

Guidance: Libya guidance – [PDF]… | 04/01/2021

Guidance: Latest HM Treasury Notice, 01/04/2021, Global Human Rights – [PDF]… | 04/01/2021

Guidance: Current list of designated persons: ISIL (Da’esh) and Al-Qaida – [PDF]… | 04/01/2021

Guidance: Financial sanctions targets: list of all asset freeze targets – [HTML]… | 04/01/2021

Guidance: Latest HM Treasury Notice, 25/03/2021, Global Human Rights – [PDF]… | 04/01/2021

 
 
 
UK-ICO
 
 
 
 

Audit: Hampshire Constabulary and Thames Valley Police… | 04/01/2021

Overview Report: Telecommunications Operator Audits 2019/20… | 03/31/2021

 
 
 
UK-JMLSG
 
 
 
 

Agency Update: New high risk third countries list… | 03/29/2021

 
 
 
UK-LSB
 
 
 
 

News: Call for Input for the CRM Code issued by the Lending Standards Board … | 03/31/2021

News: Call for Input for the CRM Code issued by the LSB… | 03/31/2021

 
 
 
UK-PRA
 
 
 
 
 
 

PRA Regulatory Digest: PRA Regulatory Digest – March 2021… | 04/01/2021

Policy statement: PS6/21 | CP29/19 | DP1/18 Operational Resilience: Impact tolerances fo… | 03/29/2021

Policy statement: PS7/21 | CP30/19 Outsourcing and third party risk management… | 03/29/2021

Supervisory statement: SS1/21 Operational resilience: Impact tolerances for important busines… | 03/29/2021

Policy statement: PS6/21 | CP29/19 | DP1/18 Operational Resilience: Impact tolerances fo… | 03/29/2021

Supervisory statement: SS18/15 Depositor and dormant account protection – Supervisory Stateme… | 03/29/2021

Policy statement: PS6/21 | CP29/19 | DP1/18 Operational Resilience: Impact tolerances fo… | 03/29/2021

Policy statement: PS6/21 | CP29/19 | DP1/18 Operational Resilience: Impact tolerances fo… | 03/29/2021

Policy statement: PS7/21 | CP30/19 Outsourcing and third party risk management – Policy … | 03/29/2021

Statement of policy: Operational resilience… | 03/29/2021

 
 
 
VA
 
 
 
 

Notice: Advisory Committee on Women Veterans, Notice of Meeting… | 04/02/2021

Notice: Agency Information Collection Activity: Application for DIC by Parent(… | 04/02/2021

Notice: Documentation Required for Identification of Veterans Who Are Members … | 04/01/2021

Proposed Rule: Certification of Evidence for Proof of Service… | 04/01/2021

Notice: AR16-Notice of Request for Information on the Department of Veterans A… | 04/01/2021

Notice: National Research Advisory Council; Notice of Meeting… | 04/01/2021

Notice: Genomic Medicine Program Advisory Committee, Notice of Meeting… | 03/31/2021

Notice: Agency Information Collection Activity: VAAR 832.202-04, Security For … | 03/31/2021

Notice: Advisory Committee Charter Renewals… | 03/30/2021

Notice: Veterans’ Rural Health Advisory Committee; Notice of Meeting… | 03/29/2021

 

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