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

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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 May 18-25

 
 
CA-CANLII
 
 
 
 

Agency Update: Statement Limiting the Right to Equitable Remuneration of Certain Rome… | 05/21/2020

Agency Update: Immigration and Refugee Protection Regulations, SOR/2002-227 [Modified… | 05/21/2020

Agency Update: Order Declaring an Amnesty Period (2020), SOR/2020-97 [Modified on May… | 05/21/2020

Agency Update: Regulations Prescribing Certain Firearms and Other Weapons, Components… | 05/21/2020

Agency Update: Exemption From Deposit Insurance By-law (Notice to Depositors), SOR/99… | 05/21/2020

 
 
 
CFPB
 
 
 
 

Press release: CFPB Takes Action to Help Struggling Homeowners Seeking Mitigation Eff… | 05/22/2020

Press release: Consumer Financial Protection Bureau and Commonwealth of Massachusetts… | 05/22/2020

Blog: Saluting service during National Military Appreciation Month… | 05/22/2020

Press release: Consumer Financial Protection Bureau Issues Consumer Complaint Bulleti… | 05/21/2020

Report: Complaint Bulletin: Complaints mentioning coronavirus keywords… | 05/21/2020

Blog: How to use your Economic Impact Payment prepaid debit card without pay… | 05/20/2020

Report: Equal Employment Opportunity (EEO) program status report for fiscal ye… | 05/19/2020

Press release: CFPB to Provide Additional Extension of Comment Period for Supplementa… | 05/19/2020

Blog: Credit card debt during coronavirus: Relief options and tips… | 05/19/2020

Press release: Media Advisory: CFPB Releases Video on Consumers Receiving Stimulus Pa… | 05/19/2020

 
 
 
CFTC
 
 
 
 

Enforcement: Complaint: Casper Mikkelsen… | 05/18/2020

News: CFTC Charges Danish Man in $1.5 Million Forex Fraud Scheme… | 05/18/2020

Agency Update: 20-18… | 05/18/2020

 
 
 
DOJ
 
 
 
 

Agency Update: The Department of Justice=E2=80=99s Office of Overseas Prosecutorial Developme… | 05/21/2020

Agency Update: Virtual Best Practices Workshop Focuses on Technology and FOIA… | 05/21/2020

 
 
 
EBSA
 
 
 
 

News: U.S. Department of Labor, Multi-Employer Benefit Plan Reach Settlement… | 05/22/2020

News: U.S. Department of Labor Announces Rule to Better Deliver Retirement P… | 05/21/2020

 
 
 
FDIC
 
 
 
 

News: Statement by FDIC Chairman Jelena McWilliams on the CRA Joint Proposed… | 05/20/2020

News: Interagency Guidance for Responsible Small-Dollar Loans… | 05/20/2020

 
 
 
FINCEN
 
 
 
 

News: FinCEN Recognizes Law Enforcement Cases Significantly Impacted by Bank… | 05/19/2020

News: FinCEN Issues Advisory on Medical Scams Related to COVID-19 and Compan… | 05/18/2020

Agency Update: FIN-2020-A002… | 05/18/2020

 
 
 
FINRA
 
 
 
 
 
 

Notices: Regulatory Notice 20-15 FINRA Amends Rules Governing its Membership Ap… | 05/21/2020

OHO Decisions: 142866 William A. Shopoff, Stephen R. Shopoff OHO Decisions… | 05/21/2020

AWCs (Letters of Acceptance, Waiver, and Consent): Santander Investment Securities Inc. AWCs (Letters of Acceptance, Waiv… | 05/21/2020

AWCs (Letters of Acceptance, Waiver, and Consent): Martin Joseph Noonan AWCs (Letters of Acceptance, Waiver, and Consent)… | 05/21/2020

AWCs (Letters of Acceptance, Waiver, and Consent): Leonard C. Kinsman AWCs (Letters of Acceptance, Waiver, and Consent)… | 05/20/2020

AWCs (Letters of Acceptance, Waiver, and Consent): Christopher M. Roumayeh AWCs (Letters of Acceptance, Waiver, and Conse… | 05/20/2020

Complaints: Adrienne Jaime Mak Complaints… | 05/20/2020

AWCs (Letters of Acceptance, Waiver, and Consent): SunTrust Investment Services, Inc. AWCs (Letters of Acceptance, Waiver… | 05/18/2020

AWCs (Letters of Acceptance, Waiver, and Consent): Dennis J. Murphy AWCs (Letters of Acceptance, Waiver, and Consent)… | 05/18/2020

AWCs (Letters of Acceptance, Waiver, and Consent): Ustocktrade Securities, Inc. AWCs (Letters of Acceptance, Waiver, and … | 05/18/2020

 
 
 
FRS
 
 
 
 

Consumer Affairs Letters: CA 20-9 Investments in Areas with Elevated Poverty and Public Welfare … | 05/21/2020

Consumer Affairs Letters: SR 20-14 / CA 20-8 Interagency Lending Principles for Making Responsib… | 05/20/2020

 
 
 
FTC
 
 
 
 

Enforcement: Consumer Protection
Complaint for Permanent Injunction and Other Equit… | 05/22/2020

News: FTC Halts Deceptive Payday Lender That Took Millions From Consumers’ A… | 05/22/2020

News: FTC Sends Letters Warning 50 More Marketers to Stop Making Unsupported… | 05/21/2020

News: Active Duty Servicemembers are More likely to Report Identity Theft th… | 05/21/2020

News: FTC Gives Final Approval to Settlement with Smart Lock Maker… | 05/20/2020

News: FTC and FCC Send Joint Letters to Additional VoIP Providers Warning ag… | 05/20/2020

News: FTC Expands Its Case Against Zurixx Real Estate Seminar Scheme… | 05/20/2020

News: FTC Sending Refund Checks Totaling More Than $8.5 Million to Consumers… | 05/19/2020

Enforcement: U.S. District Court Rules in FTC=E2=80=99s Favor, Imposes $40 Million Judgment… | 05/19/2020

Enforcement: Entertainment
Agreement Containing Consent Order (19.84 KB)
Decision a… | 05/19/2020

 
 
 
Freddie
 
 
 
 

Bulletin: Bulletin 2020-18 Selling… | 05/20/2020

Bulletin: Bulletin 2020-17 Selling Guidance Related to COVID-19… | 05/19/2020

Bulletin: Bulletin 2020-17 Selling Guidance Related to COVID-19 (This is a reiss… | 05/19/2020

 
 
 
INT-BIS
 
 
 
 

News: Bank for International Settlements (BIS) appoints B=C3=A9n=C3=A9dicte Nolens as … | 05/22/2020

News: Bank for International Settlements (BIS) appoints B=C3=A9n=C3=A9dicte Nolens as … | 05/22/2020

Agency Update: The drivers of cyber risk… | 05/20/2020

News: Joachim Nagel to join the BIS as Deputy Head of Banking… | 05/20/2020

News: Joachim Nagel to join the BIS as Deputy Head of Banking… | 05/20/2020

 
 
 
OCC
 
 
 
 

News Release: News Release 2020-66… | 05/21/2020

News Release: News Release 2020-67… | 05/21/2020

News Release: News Release 2020-63… | 05/20/2020

News Release: News Release 2020-65… | 05/20/2020

News Release: News Release 2020-64… | 05/20/2020

 
 
 
OFAC
 
 
 
 

Financial Sanction: Nicaragua-related Designations… | 05/22/2020

Financial Sanction: Publication of Amended Zimbabwe Sanctions Regulations… | 05/21/2020

Financial Sanction: CAATSA – Iran-related Designations; Iran-related Designations… | 05/20/2020

Press Release: CAATSA – Iran-related Designations; Iran-related Designations — Treas… | 05/20/2020

Financial Sanction: Counter Terrorism Designation; Iran-related Designation… | 05/19/2020

Press Release: Counter Terrorism Designation; Iran-related Designation — Treasury De… | 05/19/2020

 
 
 
SEC
 
 
 
 
 
 

News: SEC Shuts Down Fraudulent Investment Adviser Targeting Senior Citizens… | 05/22/2020

News: SEC Announces Virtual Conference on Municipal Securities Disclosure… | 05/22/2020

News: SEC Charges Owner of Film Distribution Company with Defrauding Publicl… | 05/22/2020

Agency Update: [Release No. 34-88828; File No. SR-MSRB-2020-02]… | 05/22/2020

News: SEC Issues Agenda for May 27 Meeting of the Asset Management Advisory … | 05/21/2020

Agency Update: File No. 4-762: Program for Allocation of Regulatory Responsibilities … | 05/21/2020

News: SEC Adopts Amendments to Improve Financial Disclosures about Acquisiti… | 05/21/2020

News: Statement on the Tenure of Comptroller Joseph Otting… | 05/21/2020

News: Meeting of the Investor Advisory Committee… | 05/21/2020

News: Statement on Financial Disclosures About Acquired and Disposed Busines… | 05/21/2020

 
 
 
TREAS
 
 
 
 

News: U.S. Department of the Treasury… | 05/22/2020

News: U.S. Department of the Treasury… | 05/21/2020

News: U.S. Department of the Treasury… | 05/21/2020

News: U.S. Department of the Treasury… | 05/20/2020

News: U.S. Department of the Treasury… | 05/20/2020

News: U.S. Department of the Treasury… | 05/19/2020

News: U.S. Department of the Treasury… | 05/19/2020

News: U.S. Department of the Treasury… | 05/18/2020

News: U.S. Department of the Treasury… | 05/18/2020

 
 
 
UK-BOE
 
 
 
 

News: Andy Haldane: Confederation of British Industry Daily Webinar (10:00)… | 05/22/2020

Agency Update: A shadow rate without a lower bound constraint… | 05/22/2020

Agency Update: Making text count: economic forecasting using newspaper text… | 05/22/2020

Agency Update: The global effects of global risk and uncertainty… | 05/22/2020

News: Update on the Contingent Term Repo Facility (CTRF) – Market Notice 22 … | 05/22/2020

News: Life beyond Solvency II: a view from the top of the regulator – speech… | 05/22/2020

Agency Update: Bank of England Weekly Report 20 May 2020… | 05/21/2020

News: Community Forum, Dundee – May 2020… | 05/20/2020

News: Update to the Covid Corporate Financing Facility… | 05/19/2020

News: Joint HM Treasury and Bank of England Covid Corporate Financing Facili… | 05/19/2020

 
 
 
UK-CMA
 
 
 
 

News Story: CMA investigates misleading online reviews… | 05/22/2020

News Story: Update on CMA COVID-19 Taskforce… | 05/21/2020

 
 
 
UK-FCA
 
 
 
 
 
 
 
 

News: FCA announces support for customers who are struggling to pay their mo… | 05/22/2020

Guidance consultations: Coronavirus and safeguarding customers’ funds – Annex 1: safeguarding … | 05/22/2020

Policy and guidance Guidance consultations: Coronavirus and safeguarding customers’ funds: proposed guidance for p… | 05/22/2020

Guidance consultations: Draft information for consumers: dealing with financial difficulties d… | 05/22/2020

Handbook: Handbook Notice 77… | 05/22/2020

News: ISA-Expert.com… | 05/22/2020

News: FCA acts to strengthen protections for customers using payment firms… | 05/22/2020

Policy and guidance Guidance consultations: Mortgages and coronavirus: updated draft guidance for firms… | 05/22/2020

News: The Alberto Marco Group (clone of authorised firm)… | 05/22/2020

News: Jean Pierre Technologies / JP Finance… | 05/22/2020

 
 
 
UK-HMT
 
 
 
 
 
 
 
 

News Story: Up to =C2=A315 million to support the Citizens Advice service during COVID-… | 05/23/2020

Policy Paper: Summary of Financial Inclusion Policy Forum meeting April 2020… | 05/22/2020

News Story: Help with mortgages to continue for homeowners affected by Coronavirus… | 05/22/2020

Html Publication: Summary of Financial Inclusion Policy Forum meeting April 2020… | 05/22/2020

News Story: Government to give VAT from donated PPE to healthcare charities… | 05/21/2020

Press Release: Government unlocks =C2=A3150 million from dormant accounts for coronavirus … | 05/20/2020

Policy Paper: Financial Reporting Manual Addendum 2019-20… | 05/20/2020

News Story: Future Fund launches today… | 05/20/2020

Official Statistics: Forecasts for the UK economy: May 2020… | 05/20/2020

Policy Paper: Finance Bill 2020: Public Bill Committee… | 05/19/2020

 
 
 
UK-PRA
 
 
 
 

Policy statement: Insurance special purpose vehicles: Updates to authorisation and super… | 05/22/2020

Statement: Statement by the PRA on regulatory capital and IFRS 9 requirements for… | 05/22/2020

Policy statement: Insurance special purpose vehicles: Updates to authorisation and super… | 05/22/2020

Policy statement: Insurance special purpose vehicles: Updates to authorisation and super… | 05/22/2020

Statement: Statement by the PRA on regulatory capital and IFRS 9 requirements for… | 05/22/2020

Prudential Regulation: PRA Rulebook: Solvency II Firms: Insurance Special Purpose Vehicles In… | 05/18/2020

 
 
 
VA
 
 
 
 

News: This newsflash provides information on Circular 26-20-17, Circular 26-… | 05/19/2020

News: This announcement provides information on the system deployment occurr… | 05/19/2020

 

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