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

-

FTC enforcements increased 4% over the past 30 days

-

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

-

62 Final Rules go into effect in the next 30 days

-

23 Mortgage Lending docs published in the last 7 days

-

427 docs with 4647 extracted obligations from the last 7 days

-

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

-

1646 new docs in pro.compliance.ai within the last 7 days

-

Introducing new content from WesPay

-

Agency Report Nov 16 - 23

 
 
CA-CANLII
 
 
 
 

Agency Update: Provisions of the Regulations Respecting Reduction in the Release of M… | 11/19/2020

Agency Update: Order Declaring that the Provisions of the Regulations Respecting Redu… | 11/19/2020

Agency Update: Fertilizers Regulations, CRC, c 666 [Modified on Oct 26, 2020]… | 11/19/2020

Agency Update: Order Designating the Commission that is Named the Joint Public Inquir… | 11/19/2020

Agency Update: Storage Tank Systems for Petroleum Products and Allied Petroleum Produ… | 11/19/2020

 
 
 
CA-OPC
 
 
 
 

News: Statement from the Privacy Commissioner of Canada following the tablin… | 11/19/2020

Statement: Statement from the Privacy Commissioner of Canada following the tablin… | 11/19/2020

 
 
 
CFPB
 
 
 
 
 
 

Press release: Consumer Financial Protection Bureau Settles with U.S. Equity Advantag… | 11/20/2020

Complaint: FDATR, Inc., Dean Tucci, and Kenneth Wayne Halverson Complaint… | 11/20/2020

Press release: Consumer Financial Protection Bureau Sues Debt Settlement Company FDAT… | 11/20/2020

Consent Order: U.S. Equity Advantage, Inc. and Robert M. Steenbergh Consent order… | 11/20/2020

Injunction Order: U.S. Equity Advantage, Inc. and Robert M. Steenbergh Stipulation… | 11/20/2020

Press release: Agencies Announce Dollar Thresholds in Regulations Z and M for Exempt … | 11/18/2020

Notice: Privacy Act of 1974; System of Records… | 11/18/2020

Press release: Agencies Announce Threshold for Smaller Loan Exemption from Appraisal … | 11/18/2020

Blog: Federal tools to help maximize GI Bill=C3=82=C2=AE education benefits… | 11/17/2020

Press release: CFPB, Colorado’s Attorney General Announce Joint, Virtual Office Hours… | 11/16/2020

 
 
 
CFTC
 
 
 
 

Agency Update: 20-37… | 11/18/2020

 
 
 
DOJ
 
 
 
 

Notice: Notice of Extension of Public Coment Period for Proposed Modification … | 11/20/2020

Notice: Agency Information Collection Activities; Proposed Collection; Comment… | 11/18/2020

Agency Update: Engaging Men to End Domestic Violence… | 11/18/2020

 
 
 
DOL
 
 
 
 

Notice: Agency Information Collection Activities; Submission for OMB Review; C… | 11/20/2020

Notice: Agency Information Collection Activities; Submission for OMB Review; C… | 11/20/2020

Notice: Agency Information Collection Activities; Submission for OMB Review; C… | 11/20/2020

Notice: Agency Information Collection Activities; Submission for OMB Review; C… | 11/19/2020

Notice: Agency Information Collection Activities; Submission for OMB Review; C… | 11/19/2020

Notice: Agency Information Collection Activities; Submission for OMB Review; C… | 11/19/2020

 
 
 
EBSA
 
 
 
 

News: Federal Court Sentences Los Angeles Chiropractor After U.S. Department… | 11/16/2020

Final Rule: Registration Requirements for Pooled Plan Providers… | 11/16/2020

 
 
 
EOP
 
 
 
 

Presidential Document: Delegation of Authority Under Section 506(a)(1) of the Foreign Assista… | 11/20/2020

Presidential Document: American Education Week, 2020… | 11/18/2020

Presidential Document: Addressing the Threat From Securities Investments That Finance Communi… | 11/17/2020

Presidential Document: [No title available]… | 11/17/2020

Presidential Document: Veterans Day, 2020… | 11/16/2020

 
 
 
FDIC
 
 
 
 
 
 

Notice: Designated Reserve Ratio for 2021… | 11/23/2020

Notice: Agency Information Collection Activities; Submission for OMB Review; C… | 11/23/2020

Press Release: Joint Release/Agencies Provide Temporary Relief to Community Banking O… | 11/20/2020

Financial Institution Letter: FIL-107-2020 – Proposed Rulemaking to Address the Temporary Deposit In… | 11/20/2020

Final Rule: Regulatory Capital Rule: Changes to Applicability Thresholds for Regul… | 11/20/2020

Press Release: Joint Release/Agencies Provide Temporary Relief to Community Banking O… | 11/20/2020

Financial Institution Letter: FIL-108-2020 – Interagency Interim Final Rule Provides Regulatory Reli… | 11/20/2020

Speech: Statement by FDIC Chairman Jelena McWilliams on the Interim Final Rule… | 11/20/2020

Press Release: Joint Release/Agencies Release Fact Sheet to Clarify Bank Secrecy Act … | 11/19/2020

Press Release: Joint Release/Agencies Release Fact Sheet to Clarify Bank Secrecy Act … | 11/19/2020

 
 
 
FFIEC
 
 
 
 

Notice: Proposed Information Collection Request; Standardized Instructions and… | 11/20/2020

 
 
 
FINCEN
 
 
 
 

News: FinCEN and Federal Banking Agencies Clarify BSA Due Diligence Expectat… | 11/19/2020

Notice: Agency Information Collection Activities; Proposed Renewal; Comment Re… | 11/16/2020

 
 
 
FINRA
 
 
 
 
 
 

AWCs (Letters of Acceptance, Waiver, and Consent): Kurt Jason Gunter AWCs (Letters of Acceptance, Waiver, and Consent)… | 11/20/2020

AWCs (Letters of Acceptance, Waiver, and Consent): Southern Trust Securities, Inc. Susan Molina Escobio AWCs (Letters of … | 11/19/2020

AWCs (Letters of Acceptance, Waiver, and Consent): Matthew Thomas Jennings AWCs (Letters of Acceptance, Waiver, and Conse… | 11/19/2020

AWCs (Letters of Acceptance, Waiver, and Consent): Dealerweb Inc. AWCs (Letters of Acceptance, Waiver, and Consent)… | 11/19/2020

Notice: Self-Regulatory Organizations; Financial Industry Regulatory Authority… | 11/18/2020

AWCs (Letters of Acceptance, Waiver, and Consent): David T. Phillips AWCs (Letters of Acceptance, Waiver, and Consent)… | 11/18/2020

AWCs (Letters of Acceptance, Waiver, and Consent): John Hillman Timberlake AWCs (Letters of Acceptance, Waiver, and Conse… | 11/18/2020

AWCs (Letters of Acceptance, Waiver, and Consent): Efrain B. Trujillo AWCs (Letters of Acceptance, Waiver, and Consent)… | 11/17/2020

AWCs (Letters of Acceptance, Waiver, and Consent): Brett S. Briggs AWCs (Letters of Acceptance, Waiver, and Consent)… | 11/17/2020

Rule: 3241. REGISTERED PERSON BEING NAMED A CUSTOMER=E2=80=99S BENEFICIARY OR HOLDIN… | 11/16/2020

 
 
 
FRS
 
 
 
 
 
 

Notice: Change in Bank Control Notices; Acquisitions of Shares of a Bank or Ba… | 11/23/2020

Notice: Agency Information Collection Activities; Submission for OMB Review; C… | 11/23/2020

Notice: Formations of, Acquisitions by, and Mergers of Bank Holding Companies… | 11/20/2020

Press Release: Federal Reserve announces College Fed Challenge winners… | 11/20/2020

Press Release: Agencies provide temporary relief to community banking organizations… | 11/20/2020

Press Release: Federal Register notice: Temporary Asset Thresholds (PDF) – Agencies p… | 11/20/2020

Notice: Formations of, Acquisitions by, and Mergers of Savings and Loan Holdin… | 11/20/2020

Notice: Formations of, Acquisitions by, and Mergers of Bank Holding Companies… | 11/19/2020

Notice: Proposed Agency Information Collection Activities; Comment Request… | 11/19/2020

Press Release: Joint Fact Sheet on Bank Secrecy Act Due Diligence Requirements for Ch… | 11/19/2020

 
 
 
FTC
 
 
 
 
 
 
 
 

Notice: Granting of Requests for Early Termination of the Waiting Period Under… | 11/23/2020

News: FTC Approves Administrative Complaint Against Supplement Marketer Heal… | 11/20/2020

Motion: Administrative Law Judge’s Order Denying Motion to Compel Nonparty to … | 11/20/2020

News: Student Loan Debt Relief Scammer Brandon Frere Agrees to Settle FTC Ch… | 11/19/2020

Enforcement Order: Stipulated Order for Permanent Injunction and Monetary Judgment (2.02 … | 11/19/2020

News: FTC Alleges Mobile Banking App Misled Users About Access to Their Fund… | 11/18/2020

Complaint: Complaint for Permanent Injunction and Other Equitable Relief (396.51 … | 11/18/2020

Complaint: Platinum Plus Printing, LLC’s Response to Complaint Counsel’s Motion t… | 11/17/2020

News: FTC Issues Agency Financial Report for Fiscal Year 2020… | 11/16/2020

Enforcement: Administrative Part 3 Complaint (46.02 MB)
FTC Approves Administrative… | 11/16/2020

 
 
 
INT-EBA
 
 
 
 

Press Release: Banks report a significant use of COVID-19 moratoria and public guaran… | 11/20/2020

Press Release: Piers Haben speaks at the European Association for Banking and Financi… | 11/20/2020

News: Piers Haben speaks at the European Association for Banking and Financi… | 11/19/2020

Press Release: EBA analyses effect of the unwind mechanism of the liquidity coverage … | 11/19/2020

News: EBA analyses effect of the unwind mechanism of the liquidity coverage … | 11/18/2020

News: EBA publishes Report on benchmarking of national insolvency frameworks… | 11/18/2020

Press Release: EBA publishes Report on benchmarking of national insolvency frameworks… | 11/18/2020

 
 
 
INT-FATF
 
 
 
 

Publication: FATF President’s remarks to G20 Finance Ministers and Central Bank Gov… | 11/20/2020

Publication: Iceland’s progress in strengthening measures to tackle money launderin… | 11/17/2020

Publication: Opening Remarks by FATF Executive Secretary at V20 Summit… | 11/16/2020

 
 
 
INT-FSB
 
 
 
 

Agency Update: The implications of climate change for financial stability — PDF… | 11/23/2020

Agency Update: The implications of climate change for financial stability… | 11/23/2020

News: Cooperation: the foundation of a resilient global financial system… | 11/23/2020

News: FSB examines financial stability implications of climate change… | 11/23/2020

News: FSB sets out progress on interest rate benchmark reform… | 11/20/2020

Agency Update: Reforming Major Interest Rate Benchmarks: 2020 Progress report… | 11/19/2020

Agency Update: Reforming Major Interest Rate Benchmarks: 2020 Progress report — PDF… | 11/19/2020

Agency Update: 2020 Resolution Report: “Be prepared” — PDF… | 11/18/2020

Agency Update: 2020 Resolution Report: “Be prepared”… | 11/18/2020

News: FSB highlights need for resolution preparedness… | 11/18/2020

 
 
 
INT-IOSCO
 
 
 
 

Media Release: IOSCO Annual Meeting addresses the impact of COVID 19 and other critic… | 11/23/2020

Media Release: IOSCO Reviews Money Market Funds Recommendations and Events Arising fr… | 11/20/2020

Final Rule: FR11/20 Thematic Review on consistency in implementation of Money Mark… | 11/20/2020

Agency Update: OR03/2020 Money Market Funds during the March-April Episode – Thematic… | 11/20/2020

 
 
 
NCUA
 
 
 
 

Notice: Agency Information Collection Activities: Proposed Collection; Comment… | 11/23/2020

Notice: The NCUA Staff Draft 2021-2022 Budget Justification… | 11/19/2020

Notice: Sunshine Act: Notice of Agency Meeting… | 11/17/2020

 
 
 
NYSE
 
 
 
 

Notice: Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of … | 11/18/2020

Notice: Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of … | 11/17/2020

Notice: Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of … | 11/17/2020

Notice: Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of … | 11/16/2020

 
 
 
OCC
 
 
 
 

Notice: Agency Information Collection Activities; Submission for OMB Review; C… | 11/23/2020

News Release: NR 2020-157 Agencies Provide Temporary Relief to Community Banking Org… | 11/20/2020

News Release: NR 2020-156 Proposed Rule Would Ensure Fair Access to Bank Services, C… | 11/20/2020

News Release: NR 2020-154 OCC Enforcement Actions and Terminations… | 11/19/2020

News Release: NR 2020-155 Agencies Release Fact Sheet to Clarify Bank Secrecy Act Du… | 11/19/2020

Bulletin: OCC 2020-101 Bank Secrecy Act/Anti-Money Laundering : Joint Fact Sheet… | 11/19/2020

News Release: NR 2020-153 Agencies Announce Threshold for Smaller Loan Exemption fro… | 11/18/2020

News Release: NR 2020-152 Statement on the President’s Intent to Nominate Brian P. B… | 11/17/2020

News Release: NR 2020-151 Acting Comptroller of the Currency Congratulates SEC Chair… | 11/17/2020

News Release: NR 2020-150 OCC Finalizes Rule to Eliminate Unnecessary Licensing Requ… | 11/16/2020

 
 
 
OFAC
 
 
 
 

Financial Sanction: North Korea Designations and Designations Updates; Syria-related Desig… | 11/19/2020

Financial Sanction: Iran-related Designations and Designations Updates; Counter Terrorism … | 11/18/2020

Financial Sanction: =C3=A2=E2=82=AC=E2=80=B9Counter Terrorism Designations… | 11/17/2020

Financial Sanction: Issuance of Venezuela-related General License 8G… | 11/17/2020

Notice: Notice of OFAC Sanctions Actions… | 11/16/2020

 
 
 
RHS
 
 
 
 

Proposed Rule: Single Family Housing Guaranteed Loan Program… | 11/17/2020

 
 
 
SEC
 
 
 
 
 
 
 
 

Notice: Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Fil… | 11/23/2020

Notice: Self-Regulatory Organizations; Cboe C2 Exchange, Inc.; Notice of Filin… | 11/23/2020

Notice: Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Pr… | 11/23/2020

Notice: Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing a… | 11/23/2020

Notice: Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Desi… | 11/23/2020

Notice: Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Fil… | 11/20/2020

Agency Update: Staff Statement Regarding Rule 302(b) of Regulation S-T in Light of CO… | 11/20/2020

Notice: Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and… | 11/20/2020

Enforcement: Petroleo Brasileiro and S.A. – Petrobras… | 11/20/2020

Enforcement: Winston Reed Investments LLC… | 11/20/2020

 
 
 
TREAS
 
 
 
 
 
 

Readout: Readout from a Treasury Spokesperson on Secretary Mnuchin’s Video Conf… | 11/21/2020

Statement: Joint Statement on the Temporary Suspension of the Technical Negotiati… | 11/19/2020

Press Release: Letter from Secretary Steven T. Mnuchin on the Status of Facilities Au… | 11/19/2020

Press Release: FinCEN and Federal Banking Agencies Clarify BSA Due Diligence Expectat… | 11/19/2020

Press Release: Treasury Sanctions Entities Involved in Exporting Workers from North K… | 11/19/2020

Press Release: Treasury Targets Vast Supreme Leader Patronage Network and Iran=C3=A2=E2=82=AC=E2=84=A2s Mi… | 11/18/2020

Statement: Remarks by Deputy Secretary Justin G. Muzinich at the Second Annual Pa… | 11/18/2020

Press Release: Treasury and IRS Issue Guidance Clarifying the Deductibility of Expens… | 11/18/2020

Notice: Privacy Act of 1974; System of Records… | 11/17/2020

Notice: Open Meeting of the Federal Advisory Committee on Insurance… | 11/16/2020

 
 
 
UK-BOE
 
 
 
 
 
 
 
 

News: Anna Sweeney: Fitch Ratings ESG Outlook Conference =E2=80=9CHow is the Financi… | 11/20/2020

News: Silvana Tenreyro: Resolution Foundation =E2=80=9CChallenges of setting Monetar… | 11/20/2020

News: Treasury Select Committee on the November Monetary Policy Report… | 11/20/2020

News: Minutes of the London FXJSC Legal Sub-Committee Meeting – 8 September … | 11/20/2020

News: Minutes of the London FXJSC Committee Meeting – 10 September 2020… | 11/20/2020

Agency Update: Liquidity and monetary transmission: a quasi-experimental approach… | 11/20/2020

News: Minutes of the London FXJSC Operations Sub-Committee Meeting =E2=80=93 3 Septe… | 11/20/2020

Agency Update: Optimal simple objectives for monetary policy when banks matter… | 11/20/2020

News: Her Majesty=E2=80=99s Treasury, Bank of England and Financial Conduct Authorit… | 11/20/2020

Working Paper: Liquidity and monetary transmission: a quasi-experimental approach — … | 11/20/2020

 
 
 
UK-CMA
 
 
 
 

CMA Case: Motor industry merger inquiry… | 11/23/2020

CMA Case: Ardonagh Group / Bennetts Motorcycling Services merger inquiry… | 11/20/2020

CMA Case: viagogo / StubHub merger inquiry… | 11/20/2020

CMA Case: Elis UK Limited / Central Laundry Limited merger inquiry… | 11/19/2020

CMA Case: Liberty Global plc / Telef=C3=B3nica S.A. merger inquiry… | 11/19/2020

CMA Case: Price comparison website: use of most favoured nation clauses… | 11/19/2020

Press Release: CMA fines ComparetheMarket =C2=A317.9m for competition law breach… | 11/19/2020

CMA Case: XPO Logistics / Kuehne + Nagel Drinkflow Logistics merger inquiry… | 11/19/2020

CMA Case: Ofwat Price Determinations… | 11/19/2020

Press Release: European Commission refers review of Virgin and O2 deal to CMA… | 11/19/2020

 
 
 
UK-FCA
 
 
 
 

News: Sterling Liquidity Fund (clone of FCA recognised sub-funds)… | 11/23/2020

News: FCA fines TFS-ICAP =C2=A33.44 million for market misconduct… | 11/23/2020

News: Sterling Liquidity Fund (clone of FCA recognised sub-funds)… | 11/23/2020

News: Sterling Liquidity Fund (clone of FCA recognised sub-funds)… | 11/23/2020

News: Invest In Film… | 11/20/2020

News: FCA statement on Lanistar consumer warning… | 11/20/2020

News: Buddy Loans / www.buddyloans.co.za (Clone of FCA authorised firm)… | 11/20/2020

News: FCA statement on Lanistar consumer warning… | 11/20/2020

News: Investment Finder a trading name of London Choice Investments… | 11/20/2020

News: Buddy Loans / www.buddyloans.co.za (Clone of FCA authorised firm)… | 11/20/2020

 
 
 
UK-HMT
 
 
 
 
 
 
 
 

Policy Paper: UK Listings Review… | 11/19/2020

Speech: The Economic Secretary’s keynote speech to TheCityUK 2020 Conference… | 11/19/2020

Guidance: Financial sanctions, Mali… | 11/19/2020

Press Release: Government announces =C2=A3300 million Sport Winter Survival Package to hel… | 11/19/2020

Policy Paper: Financial Inclusion Report 2019-2020… | 11/19/2020

Guidance: The Green Book: appraisal and evaluation in central government… | 11/19/2020

News Story: New Review launched to attract high-quality innovative companies to li… | 11/19/2020

National Statistics: Public Spending Statistics release: November 2020… | 11/18/2020

Official Statistics: Standards and policies for HM Treasury statistics… | 11/18/2020

Html Publication: The User Preparer Advisory Group: terms of reference… | 11/18/2020

 
 
 
UK-ICO
 
 
 
 

Decision Notice: Great Waldingfield Parish Council… | 11/16/2020

Decision Notice: Maidstone Borough Council… | 11/16/2020

Decision Notice: Staffordshire Fire and Rescue Service… | 11/16/2020

Decision Notice: Cabinet Office… | 11/16/2020

 
 
 
UK-LSB
 
 
 
 

News: The meaning of life experience… | 11/17/2020

 
 
 
UK-PRA
 
 
 
 

Statement: Joint statement on the implementation of prudential reforms in the Fin… | 11/16/2020

Letter: Letter from Sarah Breeden ‘Remediation of prudential treatment of lega… | 11/16/2020

Letter: Letter from Sarah Breeden ‘Remediation of prudential treatment of lega… | 11/16/2020

Report: Response to the general insurance industry – A framework for assessing… | 11/16/2020

 
 
 
VA
 
 
 
 

Notice: Agency Information Collection Activity: Application for Work-Study All… | 11/20/2020

Notice: Agency Information Collection Activity Under OMB Review: Title 38 Posi… | 11/19/2020

Notice: Funding Availability Under Supportive Services for Veteran Families Pr… | 11/19/2020

Notice: Agency Information Collection Activity Under OMB Review: Foreign Medic… | 11/18/2020

Notice: Privacy Act of 1974; Matching Program… | 11/17/2020

Circular: Circular 26-20-39 – Transition to ServiceNow as Loan Guaranty Service=C3=A2… | 11/17/2020

Notice: Advisory Committee on Minority Veterans, Notice of Meeting… | 11/16/2020

Notice: Agency Information Collection Activity: Request for Change of Program … | 11/16/2020

 

X