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

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FTC enforcements increased 4% over the past 30 days

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SEC issued enforcements: $45,971,340.93 over the past 30 days

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62 Final Rules go into effect in the next 30 days

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16 Mortgage Lending docs published in the last 7 days

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427 docs with 4647 extracted obligations from the last 7 days

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

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2128 new docs in pro.compliance.ai within the last 7 days

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Introducing new content from WesPay

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Agency Report Nov 2 -9

 
 
CA-CANLII
 
 
 
 

Agency Update: Nova Scotia Offshore Petroleum Installations Regulations, SOR/95-191 [… | 11/05/2020

Agency Update: Automatic Firearms Country Control List, SOR/91-575 [Modified on Oct 1… | 11/05/2020

Agency Update: Pacific Pilotage Regulations, CRC, c 1270 [Modified on Oct 14, 2020]… | 11/05/2020

Agency Update: Large Fishing Vessel Inspection Regulations, CRC, c 1435 [Modified on … | 11/05/2020

Agency Update: Small Vessel Regulations, SOR/2010-91 [Modified on Oct 6, 2020]… | 11/05/2020

Agency Update: Canada Oil and Gas Installations Regulations, SOR/96-118 [Modified on … | 11/05/2020

Agency Update: Fishing Vessel Safety Regulations, CRC, c 1486 [Modified on Oct 14, 20… | 11/05/2020

Agency Update: Passenger Rail Transportation Security Regulations, SOR/2020-222 [Modi… | 11/05/2020

Agency Update: Steering Appliances and Equipment Regulations, SOR/83-810 [Modified on… | 11/05/2020

Agency Update: Competency of Operators of Pleasure Craft Regulations, SOR/99-53 [Modi… | 11/05/2020

 
 
 
CA-OSFI
 
 
 
 

Letter: Prolongation des dispositions permettant des exclusions de la mesure d… | 11/05/2020

Letter: Extension of exclusions from the leverage ratio exposure measure… | 11/05/2020

 
 
 
CFPB
 
 
 
 
 
 
 
 

Proposed Rule: Consumer Access to Financial Records… | 11/06/2020

Proposed Rule: Role of Supervisory Guidance… | 11/05/2020

Enforcement Document: Driver Loan, LLC and Angelo Jose Sarjeant Complaint… | 11/05/2020

Press release: Consumer Financial Protection Bureau Files Lawsuit Against Driver Loan… | 11/05/2020

Enforcement Action: Performance SLC, LLC, Performance Settlement, LLC and Daniel Crenshaw… | 11/05/2020

Complaint: Performance SLC, LLC, Performance Settlement, LLC and Daniel Crenshaw … | 11/05/2020

Press release: Consumer Financial Protection Bureau Takes Action Against Debt-Relief … | 11/05/2020

Enforcement Action: Driver Loan, LLC and Angelo Jose Sarjeant… | 11/05/2020

Press release: Consumer Financial Protection Bureau Issues No Action Letter to Facili… | 11/05/2020

Final Rule: Statement of Policy on Applications for Early Termination of Consent O… | 11/03/2020

 
 
 
CFTC
 
 
 
 
 
 

Final Rule: Margin Requirements for Uncleared Swaps for Swap Dealers and Major Swa… | 11/09/2020

Proposed Rule: Portfolio Margining of Uncleared Swaps and Non-Cleared Security-Based … | 11/05/2020

Enforcement: Default Judgment Order: Venture Capital Investments Ltd, et al… | 11/04/2020

News: Federal Court Orders Colorado Company and its Principal to Pay Over $9… | 11/04/2020

Final Rule: Cross-Border Application of the Registration Thresholds and Certain Re… | 11/03/2020

Notice: Privacy Act of 1974; System of Records… | 11/03/2020

Notice: Sunshine Act Meetings… | 11/02/2020

 
 
 
DOJ
 
 
 
 

Notice: Notice of Lodging of Proposed Consent Decree Under The Clean Water Act… | 11/06/2020

Notice: Agency Information Collection Activities; Proposed eCollection; eComme… | 11/06/2020

Notice: Notice of Lodging of Proposed Consent Decree Under The Clean Water Act… | 11/06/2020

Notice: Agency Information Collection Activities; Proposed Collection; Request… | 11/06/2020

Notice: Notice of Lodging of Proposed Consent Decree Under the Clean Water Act… | 11/04/2020

Notice: Notice of Lodging of Proposed Consent Decree Under the Clean Air Act, … | 11/04/2020

Notice: Notice of Lodging of Proposed Consent Decree Under the Comprehensive E… | 11/03/2020

Notice: Agency Information Collection Activities; Proposed eCollection eCommen… | 11/03/2020

Notice: Agency Information Collection Activities; Proposed eCollection, eComme… | 11/03/2020

Notice: Notice of Lodging of Proposed Consent Decree Under the Clean Air Act… | 11/03/2020

 
 
 
DOL
 
 
 
 

Notice: Agency Information Collection Activities; Submission for OMB Review; C… | 11/06/2020

Notice: Secretary’s Order 10-2020-Statement of Policy Regarding Independence o… | 11/06/2020

Notice: Agency Information Collection Activities; Comment Request; Department … | 11/06/2020

Notice: Agency Information Collection Activities; Submission for OMB Review; C… | 11/06/2020

Notice: Agency Information Collection Activities; Submission for OMB Review; C… | 11/06/2020

Notice: Agency Information Collection Activities; Submission for OMB Review; C… | 11/06/2020

Notice: Agency Information Collection Activities; Comment Request; Honoring In… | 11/03/2020

 
 
 
EBSA
 
 
 
 

Final Rule: Additional Policy and Regulatory Revisions in Response to the COVID-19… | 11/06/2020

Notice: 204th Meeting of the Advisory Council on Employee Welfare and Pension … | 11/03/2020

 
 
 
EOP
 
 
 
 

Presidential Document: Memorandum of October 26, 2020… | 11/06/2020

Presidential Document: Presidential Determination With Respect to the Efforts of Foreign Gove… | 11/06/2020

Presidential Document: Presidential Determination on Refugee Admissions for Fiscal Year 2021… | 11/06/2020

Presidential Document: Establishing the President’s Advisory 1776 Commission… | 11/05/2020

Presidential Document: Critical Infrastructure Security and Resilience Month, 2020… | 11/05/2020

Presidential Document: National Family Caregivers Month, 2020… | 11/05/2020

Presidential Document: National Adoption Month, 2020… | 11/05/2020

Presidential Document: National Entrepreneurship Month, 2020… | 11/05/2020

Presidential Document: National Day of Remembrance for Americans Killed by Illegal Aliens, 20… | 11/05/2020

Presidential Document: National Native American Heritage Month, 2020… | 11/05/2020

 
 
 
FDIC
 
 
 
 
 
 

Final Rule: Assessments; Corrections… | 11/09/2020

Financial Institution Letter: FIL-104-2020 – Interagency Statement LIBOR Transition for Loans… | 11/06/2020

Proposed Rule: Role of Supervisory Guidance… | 11/05/2020

Notice: Notice of Termination of Receiverships… | 11/05/2020

Press Release: FDIC Issues List of Banks Examined for CRA Compliance — November 2020… | 11/04/2020

Press Release: FDIC Issues List of Banks Examined for CRA Compliance… | 11/04/2020

Financial Institution Letter: FIL-103-2020 – The FDIC Publishes Sound Practices to Strengthen Operat… | 11/02/2020

 
 
 
FINCEN
 
 
 
 

Agency Update: FIN-2020-A009… | 11/06/2020

News: FinCEN Reissues Real Estate Geographic Targeting Orders for 12 Metropo… | 11/05/2020

 
 
 
FINRA
 
 
 
 

Notice: Self-Regulatory Organizations; Financial Industry Regulatory Authority… | 11/09/2020

Notice: Self-Regulatory Organizations; Financial Industry Regulatory Authority… | 11/06/2020

AWCs (Letters of Acceptance, Waiver, and Consent): Ivan Shore AWCs (Letters of Acceptance, Waiver, and Consent)… | 11/06/2020

AWCs (Letters of Acceptance, Waiver, and Consent): Lucas Mandon King AWCs (Letters of Acceptance, Waiver, and Consent)… | 11/05/2020

AWCs (Letters of Acceptance, Waiver, and Consent): First Clearing, LLC (now known as Wells Fargo Clearing Services, LLC) … | 11/04/2020

Orders Accepting Offers of Settlement: Marc N. Jaffe Orders Accepting Offers of Settlement… | 11/04/2020

Orders Accepting Offers of Settlement: Gurpreet Chandhoke, Stephen Shea Orders Accepting Offers of Settlement… | 11/04/2020

AWCs (Letters of Acceptance, Waiver, and Consent): Bradley Hildebrand AWCs (Letters of Acceptance, Waiver, and Consent)… | 11/02/2020

 
 
 
FRS
 
 
 
 
 
 

Notice: Formations of, Acquisitions by, and Mergers of Bank Holding Companies… | 11/06/2020

SR Letter: SR 20-25 Interagency Statement =C3=A2=E2=82=AC” Reference Rates for Loans… | 11/06/2020

Press Release: Draft SR letter (PDF) – Federal Reserve publishes latest version of it… | 11/06/2020

Press Release: Federal Reserve publishes latest version of its supervision and regula… | 11/06/2020

Notice: Change in Bank Control Notices; Acquisitions of Shares of a Bank or Ba… | 11/06/2020

Proposed Rule: Role of Supervisory Guidance… | 11/05/2020

Press Release: Federal Reserve issues FOMC statement… | 11/05/2020

Press Release: Implementation Note issued November 5, 2020 – Federal Reserve issues F… | 11/05/2020

Notice: Formations of, Acquisitions by, and Mergers of Bank Holding Companies… | 11/04/2020

Notice: Change in Bank Control Notices; Acquisitions of Shares of a Bank or Ba… | 11/03/2020

 
 
 
FTC
 
 
 
 
 
 
 
 

Notice: Stryker and Wright Medical; Analysis of Consent Orders To Aid Public C… | 11/09/2020

Event: Cmr.WIlson participating in panel at IAPP event… | 11/06/2020

Event: Cmr. Wilson to participate on a panel on antitrust at The Federalist S… | 11/06/2020

Event: Cmr. Slaughter will participate in the 2020 ABA Fall Forum Panel-Antit… | 11/06/2020

Event: Cmr. Wilson will be interviewed for the American Bar Association (ABA)… | 11/06/2020

News: Cmr. Wilson to participate on a panel on antitrust at The Federalist S… | 11/06/2020

News: Cmr. Wilson will be interviewed for the American Bar Association (ABA)… | 11/06/2020

News: Cmr.WIlson participating in panel at IAPP event… | 11/06/2020

News: FTC Approves Final Consent Agreement with Sunday Riley Modern Skincare… | 11/06/2020

Event: Thirteenth Annual Federal Trade Commission Microeconomics Conference -… | 11/06/2020

 
 
 
Freddie
 
 
 
 

News: Loan Advisor November Message Updates and More… | 11/06/2020

News: Single-Family 2020 Q2 Forecast… | 11/05/2020

News: Investigating Housing Stock and Housing Affordability: 2020 Q2… | 11/05/2020

News: Where Is the Aging Housing Stock in the United States?… | 11/05/2020

News: Market HERA Goal Monthly Market Forecast: Forecasting with multiple si… | 11/05/2020

News: UCount: Bringing Greater Transparency to Annual Certification and Chan… | 11/02/2020

News: Guide Bulletin 2020-42: New Deployment Date for the Unified Counterpar… | 11/02/2020

 
 
 
INT-BIS
 
 
 
 

Agency Update: The dawn of fintech in Latin America: landscape, prospects and challen… | 11/05/2020

Agency Update: Implementation of Basel standards – A report to G20 Leaders on impleme… | 11/03/2020

 
 
 
INT-EBA
 
 
 
 

News: EBA publishes revised final draft technical standards and Guidelines o… | 11/04/2020

News: ESAs=E2=80=99 Board of Appeal dismisses case against EIOPA on alleged non-appl… | 11/03/2020

News: EBA sets out how prudential supervisors should take money laundering a… | 11/03/2020

News: EBA encourages financial institutions to put the required focus on con… | 11/03/2020

News: The EBA launches consultation to incorporate ESG risks into the govern… | 11/03/2020

 
 
 
INT-FATF
 
 
 
 

Publication: The Slovak Republic’s measures to combat money laundering and terroris… | 11/04/2020

Publication: Georgia’s measures to combat money laundering and terrorist financing… | 11/04/2020

 
 
 
INT-FSB
 
 
 
 

Consultations: Regulatory and Supervisory Issues Relating to Outsourcing and Third-Pa… | 11/09/2020

News: FSB consults on regulatory and supervisory issues relating to outsourc… | 11/09/2020

Consultations: Regulatory and Supervisory Issues Relating to Outsourcing and Third-Pa… | 11/09/2020

News: FSB Europe group discusses responses to COVID-19 and non-bank financia… | 11/04/2020

News: FSB Asia group discusses responses to COVID-19 and enhancing cross-bor… | 11/03/2020

 
 
 
INT-IOSCO
 
 
 
 

Media Release: CPMI-IOSCO assessment concludes that Brazil has implemented the PFMI, … | 11/03/2020

Final Rule: FR10/2020 Implementation monitoring of PFMI: Level 2 assessment report… | 11/03/2020

 
 
 
NCUA
 
 
 
 

Proposed Rule: Role of Supervisory Guidance… | 11/05/2020

 
 
 
NYSE
 
 
 
 

Notice: Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of … | 11/09/2020

Notice: Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of … | 11/06/2020

Notice: Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of … | 11/06/2020

 
 
 
OCC
 
 
 
 
 
 

Bulletin: OCC 2020-98 Libor Transition : Interagency Statement on Reference Rate… | 11/06/2020

Notice: Agency Information Collection Activities: Information Collection Renew… | 11/06/2020

Notice: Agency Information Collection Activities: Information Collection Revis… | 11/06/2020

Notice: Agency Information Collection Activities: Information Collection Renew… | 11/05/2020

Bulletin: OCC 2020-97 Corporate and Risk Governance : Revised and New Publicatio… | 11/05/2020

Proposed Rule: Role of Supervisory Guidance… | 11/05/2020

News Release: NR 2020-146 OCC Updates Director’s Toolkit… | 11/05/2020

Comment: Loans in Areas Having Special Flood Hazards; Interagency Questions and… | 11/03/2020

Comment: Loans in Areas Having Special Flood Hazards; Interagency Questions and… | 11/03/2020

Bulletin: OCC 2020-96 Capital and Liquidity Treatment for Money Market Liquidity… | 11/03/2020

 
 
 
OFAC
 
 
 
 

Notice: Notice of OFAC Sanctions Actions… | 11/03/2020

Notice: Notice of OFAC Sanctions Actions… | 11/02/2020

 
 
 
SEC
 
 
 
 
 
 
 
 

Notice: Submission for OMB Review; Comment Request… | 11/09/2020

Notice: Submission for OMB Review; Comment Request… | 11/09/2020

Notice: Submission for OMB Review; Comment Request… | 11/09/2020

Notice: Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Pr… | 11/09/2020

Notice: Proposed Collection; Comment Request… | 11/09/2020

Notice: Self-Regulatory Organizations; NYSE Chicago, Inc.; Notice of Designati… | 11/09/2020

Notice: Self-Regulatory Organizations; The Options Clearing Corporation; Notic… | 11/09/2020

Notice: Proposed Collection; Comment Request… | 11/09/2020

Notice: Investor Advisory Committee Meeting… | 11/09/2020

Notice: Self-Regulatory Organizations; Financial Industry Regulatory Authority… | 11/09/2020

 
 
 
TREAS
 
 
 
 

Notice: Periodic Meeting of the U.S. Department of the Treasury Tribal Advisor… | 11/05/2020

 
 
 
UK-BOE
 
 
 
 
 
 
 
 

News: Andrew Bailey: The CityUK=E2=80=99s National Conference 2020 (14:00)… | 11/06/2020

Working Paper: Has bail-in increased market discipline? An empirical investigation of… | 11/06/2020

Minutes: Minutes of the Meeting of the Court of Directors held on 9 September 2… | 11/06/2020

Minutes: Minutes of the Meeting of the Court of Directors held on 9 September 2… | 11/06/2020

Working Paper: Monetary policy inertia and the paradox of flexibility… | 11/06/2020

Minutes: Minutes of the Meeting of the Court of Directors held on 9 September 2… | 11/06/2020

Working Paper: Monetary policy inertia and the paradox of flexibility — Monetary pol… | 11/06/2020

Agency Update: Monthly Decision Maker Panel data – October 2020… | 11/05/2020

Agency Update: Monetary Policy Report – November 2020… | 11/05/2020

News: Bank Rate maintained at 0.1% – November 2020… | 11/05/2020

 
 
 
UK-FCA
 
 
 
 

News: Insight Investment Group/ Insight Premium (Clone of FCA authorised fir… | 11/09/2020

News: Atlasfx (clone of FCA authorised firm)… | 11/09/2020

News: Green Horizon Summit: Rising to the Climate Challenge… | 11/09/2020

News: Insight Investment Group/ Insight Premium (clone of FCA authorised fir… | 11/09/2020

News: Green Horizon Summit: Rising to the Climate Challenge… | 11/09/2020

News: Atlasfx (clone of FCA authorised firm)… | 11/09/2020

News: Danske Bank A/S (clone of EEA authorised firm)… | 11/06/2020

News: Invicta-Securities (clone of FCA authorised firm)… | 11/06/2020

News: Markets profit / Marketsprofit.com / Profit Market Trading (clone of F… | 11/06/2020

News: Markets profit / Marketsprofit.com / Profit Market Trading (clone of F… | 11/06/2020

 
 
 
UK-ICO
 
 
 
 

News: Sandbox helps develop innovative tools to combat financial crime… | 11/05/2020

Decision Notice: Cabinet Office… | 11/02/2020

Decision Notice: Cabinet Office… | 11/02/2020

Decision Notice: London Borough of Croydon… | 11/02/2020

Decision Notice: West Berkshire Council… | 11/02/2020

Decision Notice: NHS Commissioning Board (NHS England)… | 11/02/2020

Decision Notice: Department of Health and Social Care… | 11/02/2020

Decision Notice: Department for Work and Pensions… | 11/02/2020

Decision Notice: Olney Town Council… | 11/02/2020

 
 
 
VA
 
 
 
 

Notice: Loan Guaranty: Assistance to Eligible Individuals in Acquiring Special… | 11/06/2020

Proposed Rule: Elimination of Copayment for Opioid Antagonists and Education on Use o… | 11/06/2020

Notice: Agency Information Collection Activity: Statement in Support of Claim … | 11/06/2020

Proposed Rule: Change in Rates VA Pays for Special Modes of Transportation… | 11/05/2020

Notice: Agency Information Collection Activity: Authorization To Disclose Pers… | 11/03/2020

Notice: Agency Information Collection Activity: Statement of Dependency of Par… | 11/03/2020

 

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