131 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

-

123 Final Rules go into effect in the next 30 days

-

40 Mortgage Lending docs published in the last 7 days

-

149 docs with 7429 extracted obligations from the last 7 days

-

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

-

6800 new docs in pro.compliance.ai within the last 7 days

-

Download the Q3 Enforcement eBook now!

-

Join us Feb 4th at Comply 2021

-

Agency Report May 04 - 11

 
 
CA-CANLII
 
 
 
 

Agency Update: Direction to the Canadian Radio-television and Telecommunications Comm… | 05/07/2020

Agency Update: Income Support Payment (Excluded Nominal Income) Regulations, SOR/2020… | 05/07/2020

Agency Update: Administrative Monetary Penalties (OSFI) Regulations, SOR/2005-267 [Mo… | 05/07/2020

Agency Update: Export Charges for Certain Dairy Products Regulations, SOR/2020-72 [Mo… | 05/07/2020

Agency Update: First Nations Election Cancellation and Postponement Regulations (Prev… | 05/07/2020

 
 
 
CA-OPC
 
 
 
 

News: News release: Privacy guardians issue joint statement on COVID-19 cont… | 05/07/2020

 
 
 
CFPB
 
 
 
 

Notice: Fair Lending Report of the Bureau of Consumer Financial Protection, Ap… | 05/08/2020

Comment: Debt Collection Practices (Regulation F); Public Submission; Zachary S… | 05/05/2020

Final Rule: Application of Certain Provisions in the TILA-RESPA Integrated Disclos… | 05/04/2020

 
 
 
CFTC
 
 
 
 
 
 

Final Rule: Margin Requirements for Uncleared Swaps for Swap Dealers and Major Swa… | 05/11/2020

News: CFTC Seeks to Revoke Registrations of Commodity Pool Operator and its … | 05/08/2020

Enforcement: Notice of Intent: Phy Capital Investments, LLC et al… | 05/08/2020

Enforcement: Complaint: Daniel Fingerhut, et al… | 05/07/2020

News: CFTC Files Charges in $20 Million International Binary Options and Dig… | 05/07/2020

News: CFTC Orders Trader and His Firm to Pay $150,000 for Wash Sales… | 05/07/2020

Enforcement: Order: Cayley Investment Management, LLC, et al… | 05/07/2020

Notice: Renewal of the Market Risk Advisory Committee… | 05/05/2020

News: CFTC Awards More Than $2 Million to Four Whistleblowers… | 05/04/2020

Enforcement: No. 20-WB-04… | 05/04/2020

 
 
 
DOJ
 
 
 
 

Notice: Agency Information Collection Activities; Proposed eCollection eCommen… | 05/11/2020

Notice: Notice of Lodging of Proposed Consent Decree and Environmental Settlem… | 05/08/2020

Notice: Notice of Lodging of Proposed Consent Decree Under the Clean Air Act… | 05/05/2020

Agency Update: OIP Now Offers Virtual FOIA Training for Agency FOIA Professionals… | 05/05/2020

Notice: Notice of Lodging of Proposed Consent Decree Under the Clean Air Act… | 05/04/2020

 
 
 
DOL
 
 
 
 

Notice: Labor Advisory Committee for Trade Negotiations and Trade Policy… | 05/07/2020

Notice: Agency Information Collection Activities; Submission for OMB Review; C… | 05/06/2020

Notice: Agency Information Collection Activities; Submission for OMB Review; C… | 05/04/2020

Notice: Agency Information Collection Activities; Submission for OMB Review; C… | 05/04/2020

Notice: Agency Information Collection Activities; Submission for OMB Review; C… | 05/04/2020

Notice: Agency Information Collection Activities; Submission for OMB Review; C… | 05/04/2020

Notice: Agency Information Collection Activities; Submission for OMB Review; C… | 05/04/2020

Notice: Agency Information Collection Activities; Submission for OMB Review; C… | 05/04/2020

 
 
 
EBSA
 
 
 
 

Final Rule: Extension of Certain Timeframes for Employee Benefit Plans, Participan… | 05/04/2020

 
 
 
EOP
 
 
 
 

Presidential Document: National Nurses Day, 2020… | 05/11/2020

Presidential Document: National Day of Prayer, 2020… | 05/11/2020

Presidential Document: Missing and Murdered American Indians and Alaska Natives Awareness Day… | 05/08/2020

Presidential Document: Continuation of the National Emergency With Respect to the Central Afr… | 05/08/2020

Presidential Document: Continuation of the National Emergency With Respect to the Actions of … | 05/08/2020

Presidential Document: Continuation of the National Emergency With Respect to Yemen… | 05/08/2020

Presidential Document: Public Service Recognition Week, 2020… | 05/07/2020

Presidential Document: National Hurricane Preparedness Week, 2020… | 05/07/2020

Presidential Document: Loyalty Day, 2020… | 05/05/2020

Presidential Document: National Mental Health Awareness Month, 2020… | 05/05/2020

 
 
 
FDIC
 
 
 
 

Notice: Notice of Termination of Receivership… | 05/07/2020

Final Rule: Liquidity Coverage Ratio Rule: Treatment of Certain Emergency Faciliti… | 05/06/2020

 
 
 
FFIEC
 
 
 
 

Notice: Appraisal Subcommittee; Notice of Meeting… | 05/05/2020

 
 
 
FINRA
 
 
 
 

Notices: Election Notice – 5/8/20 Upcoming FINRA Board of Governors Election Pe… | 05/08/2020

Notices: Regulatory Notice 20-13 FINRA Reminds Firms to Beware of Fraud During … | 05/05/2020

Notices: Regulatory Notice 20-12 FINRA Warns of Fraudulent Phishing Emails Purp… | 05/04/2020

Notice: Self-Regulatory Organizations; Financial Industry Regulatory Authority… | 05/04/2020

 
 
 
FRS
 
 
 
 

Notice: Proposed Agency Information Collection Activities; Comment Request… | 05/11/2020

Notice: Agency Information Collection Activities: Announcement of Board Approv… | 05/11/2020

Notice: Formations of, Acquisitions by, and Mergers of Bank Holding Companies… | 05/11/2020

Notice: Proposed Agency Information Collection Activities; Comment Request… | 05/11/2020

Notice: Formations of, Acquisitions by, and Mergers of Bank Holding Companies… | 05/11/2020

Final Rule: Liquidity Coverage Ratio Rule: Treatment of Certain Emergency Faciliti… | 05/06/2020

Notice: Notice of Proposals To Engage in or To Acquire Companies Engaged in Pe… | 05/05/2020

Notice: Change in Bank Control Notices; Acquisitions of Shares of a Bank or Ba… | 05/05/2020

 
 
 
FTC
 
 
 
 

Proposed Rule: Semiannual Regulatory Agenda… | 05/07/2020

Notice: Agency Information Collection Activities; Proposed Collection; Comment… | 05/04/2020

 
 
 
Freddie
 
 
 
 

Bulletin: Bulletin 2020-14 Selling Requirements and Guidance Related to COVID-19… | 05/05/2020

 
 
 
INT-BIS
 
 
 
 

Agency Update: Pension contributions and tax-based incentives: evidence from the TCJA… | 05/08/2020

Agency Update: On the instability of banking and other financial intermediation… | 05/08/2020

Agency Update: Dealers’ insurance, market structure, and liquidity… | 05/04/2020

 
 
 
INT-EC
 
 
 
 

News: EU Member States sign an agreement for the termination of intra-EU bil… | 05/05/2020

 
 
 
INT-FSB
 
 
 
 

Agency Update: FSB compensation workshop 2019: Key takeaways — PDF… | 05/08/2020

Agency Update: FSB compensation workshop 2019: Key takeaways… | 05/08/2020

Consultations: Guidance on financial resources to support CCP resolution and on the t… | 05/04/2020

Consultations: Guidance on financial resources to support CCP resolution and on the t… | 05/04/2020

 
 
 
NYSE
 
 
 
 

Notice: Self-Regulatory Organizations; New York Stock Exchange LLC; NYSE Natio… | 05/07/2020

Notice: Self-Regulatory Organizations; New York Stock Exchange LLC; Order Appr… | 05/05/2020

Notice: Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of … | 05/05/2020

 
 
 
OCC
 
 
 
 

News Release: News Release 2020-60… | 05/08/2020

Comment: Regulatory Capital Rule: Payment Protection Program Lending Facility a… | 05/06/2020

Final Rule: Liquidity Coverage Ratio Rule: Treatment of Certain Emergency Faciliti… | 05/06/2020

Comment: Licensing Amendments; Public Submission; Bank Policy Institute… | 05/05/2020

Comment: Licensing Amendments; Public Submission; Conference of State Bank Supe… | 05/05/2020

Comment: Licensing Amendments; Public Submission; American Bankers Association… | 05/05/2020

News Release: News Release 2020-59… | 05/05/2020

 
 
 
OFAC
 
 
 
 

Notice: Notice of OFAC Sanctions Actions… | 05/11/2020

Financial Sanction: Specially Designated Nationals (SDN) List Administrative Updates… | 05/07/2020

Financial Sanction: Settlement Agreement between the U.S. Department of the Treasury’s Off… | 05/06/2020

Notice: Notice of OFAC Sanctions Actions… | 05/04/2020

 
 
 
SEC
 
 
 
 
 
 

Notice: Self-Regulatory Organizations; BOX Exchange LLC; Notice of Filing of P… | 05/11/2020

Notice: Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of … | 05/11/2020

Notice: Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and I… | 05/11/2020

Notice: Self-Regulatory Organizations; Cboe C2 Exchange, Inc.; Notice of Filin… | 05/11/2020

Notice: Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of … | 05/08/2020

Notice: Self-Regulatory Organizations; The Options Clearing Corporation; Notic… | 05/08/2020

Notice: In the Matter of the Application of MEMX LLC for Registration as a Nat… | 05/08/2020

Notice: Sunshine Act Meetings… | 05/08/2020

Notice: Asset Management Advisory Committee; Meeting… | 05/08/2020

Notice: Proposed Collection; Comment Request… | 05/07/2020

 
 
 
TREAS
 
 
 
 

Notice: Open Meeting of the Federal Advisory Committee on Insurance… | 05/11/2020

News: U.S. Department of the Treasury… | 05/08/2020

News: U.S. Department of the Treasury… | 05/07/2020

News: U.S. Department of the Treasury… | 05/06/2020

News: U.S. Department of the Treasury… | 05/06/2020

News: U.S. Department of the Treasury… | 05/06/2020

News: U.S. Department of the Treasury… | 05/06/2020

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

News: U.S. Department of the Treasury… | 05/04/2020

News: U.S. Department of the Treasury… | 05/04/2020

 
 
 
UK-BOE
 
 
 
 

News: The Bank=E2=80=99s risk management approach to collateral referencing LIBOR fo… | 05/07/2020

Agency Update: Bank of England Weekly Report 6 May 2020… | 05/07/2020

Agency Update: Monthly Decision Maker Panel data – April 2020… | 05/07/2020

News: Statement by the Bank of England and Prudential Regulation Authority o… | 05/07/2020

News: Bank Rate maintained at 0.1% – May 2020… | 05/07/2020

News: The Financial Services Regulatory Initiatives Forum launches Grid to h… | 05/07/2020

Agency Update: Monetary Policy Report and Interim Financial Stability Report – May 20… | 05/07/2020

Agency Update: Monetary Policy Report and Interim Financial Stability Report – May 20… | 05/07/2020

Agency Update: Monetary Policy Report and Interim Financial Stability Report – May 20… | 05/07/2020

Agency Update: Monetary Policy Report and Interim Financial Stability Report – May 20… | 05/07/2020

 
 
 
UK-FCA
 
 
 
 

News: FCA and HMRC make collaboration agreement… | 05/11/2020

News: FCA update following the Prime Minister=E2=80=99s statement on Sunday 10 May… | 05/10/2020

News: Brewin Dolphin (clone of authorised firm)… | 05/07/2020

News: Blix Group… | 05/07/2020

News: Rathbone Trust Capital (Clone of authorised firm)… | 05/07/2020

News: The Financial Services Regulatory Initiatives Forum launches Grid to h… | 05/07/2020

News: Infinitrade… | 05/07/2020

News: My MarketUK… | 05/07/2020

News: Goldman Banc… | 05/07/2020

News: Acorn Property Group / RST South West Investments Limited… | 05/07/2020

 
 
 
UK-ICO
 
 
 
 

News: Statement in response to media enquiries about the Data Protection Imp… | 05/07/2020

News: ICO statement on Adtech work… | 05/07/2020

News: Information Commissioner sets out new priorities for UK data protectio… | 05/05/2020

News: Information Commissioner and Head of Technology and Innovation appear … | 05/04/2020

News: COVID-19 contact tracing: data protection expectations on app developm… | 05/04/2020

 
 
 
UK-PRA
 
 
 
 

Statement: Statement by the PRA on conversion of Pillar 2A capital requirements f… | 05/07/2020

Statement: Statement by the Prudential Regulation Authority on prioritisation in … | 05/07/2020

Statement: Statement by the PRA on conversion of Pillar 2A capital requirements f… | 05/07/2020

Statement: Statement on credit risk mitigation eligibility and leverage ratio tre… | 05/04/2020

Statement: Statement on credit risk mitigation eligibility and leverage ratio tre… | 05/04/2020

 
 
 
VA
 
 
 
 

Notice: Advisory Committee on Former Prisoners of War, Notice of Meeting… | 05/11/2020

Notice: Department of Veterans Affairs Guidance Document Database and Portal (… | 05/11/2020

Notice: Agency Information Collection Activity: Customer Satisfaction Surveys… | 05/05/2020

Notice: Agency Information Collection Activity: Application for Approval of a … | 05/05/2020

Notice: Agency Information Collection Activity: Time Record (Work-Study Progra… | 05/05/2020

Notice: Advisory Committee on Disability Compensation, Notice of Meeting… | 05/05/2020

 

X