148 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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45 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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77 new Proposed and Final Rules were published in the past 7 days

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6736 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 Oct 5 - 12

 
 
CA-BOC
 
 
 
 

Agency Update: Security and convenience of a central bank digital currency… | 10/05/2020

 
 
 
CA-CANLII
 
 
 
 

Agency Update: United States Surtax Order (Aluminum 2020), SOR/2020-199 [Modified on … | 10/08/2020

Agency Update: Indian Bands Council Elections Order, SOR/97-138 [Modified on Sep 11, … | 10/08/2020

 
 
 
CA-OPC
 
 
 
 

Agency Update: Key takeaways for public servants from the 2019-2020 Annual Report… | 10/08/2020

News: News release: Commissioner=E2=80=99s annual report: Pandemic raises privacy co… | 10/08/2020

News: Media Advisory: Tabling of the Privacy Commissioner=E2=80=99s annual report… | 10/07/2020

 
 
 
CFPB
 
 
 
 
 
 

Press release: Consumer Financial Protection Bureau Report Finds Continued Decline in… | 10/08/2020

Blog: The CFPB Ombudsman=C3=A2=E2=82=AC=E2=84=A2s Office celebrates Ombuds Day… | 10/08/2020

Blog: New guide to help organizations connect individuals with stimulus paym… | 10/08/2020

Report: 2020 College credit card agreements… | 10/08/2020

Blog: CFPB provides clearer rules of the road for RESPA marketing service ag… | 10/07/2020

Notice: Agency Information Collection Activities: Submission for OMB Review; C… | 10/07/2020

Blog: Play it safe online… | 10/06/2020

Comment: CARD Act Rules Review Pursuant to the Regulatory Flexibility Act; Requ… | 10/05/2020

Press release: Consumer Financial Protection Bureau Issues Policy Statement on Applic… | 10/05/2020

Notice: Agency Information Collection Activities: Submission for OMB Review; C… | 10/05/2020

 
 
 
CFTC
 
 
 
 

News: Federal Court Orders Pennsylvania Man and His Companies to Pay More Th… | 10/09/2020

Enforcement: Complaint: Michael J. Salerno, et al… | 10/09/2020

Enforcement: Order: Michael J. Salerno, et al… | 10/09/2020

Enforcement: Default Order: Phy Capital Investments LLC… | 10/09/2020

Agency Update: 20-31… | 10/09/2020

News: CFTC Revokes Registrations of Florida Company and its CEO for Fraud an… | 10/09/2020

Enforcement: Order: Phy Capital Investments LLC… | 10/09/2020

News: CFTC Charges Wisconsin Firm and its Manager with Registration, Disclos… | 10/07/2020

Enforcement: Complaint: Southwest Services, et al… | 10/07/2020

News: CFTC Posts Record-Breaking Enforcement Year… | 10/06/2020

 
 
 
DOJ
 
 
 
 

Notice: Notice of Lodging Proposed Consent Decree… | 10/09/2020

Agency Update: Key FOIA Resources: Exemption 3 Statutes… | 10/07/2020

Final Rule: Office of the Chief Administrative Hearing Officer, Chief Administrati… | 10/07/2020

Notice: Notice of Task Force on Research on Violence Against American Indian a… | 10/07/2020

Final Rule: Processes and Procedures for Issuance and Use of Guidance Documents… | 10/07/2020

Agency Update: Announcing Upcoming FOIA Reporting Deadlines… | 10/07/2020

Notice: Notice of Lodging of Proposed Consent Judgment Under The Resource Cons… | 10/06/2020

Notice: Notice of Lodging Proposed Consent Decree… | 10/05/2020

Notice: Notice of Lodging Proposed Partial Consent Decree… | 10/05/2020

Notice: Notice of Lodging of Proposed Consent Decree Under the Comprehensive E… | 10/05/2020

 
 
 
EBSA
 
 
 
 

News: U.S. Department of Labor Obtains Consent Order and Judgment To Restore… | 10/05/2020

 
 
 
EOP
 
 
 
 

Presidential Document: German-American Day, 2020… | 10/09/2020

Presidential Document: Child Health Day, 2020… | 10/08/2020

Presidential Document: Authorizing NuStar Logistics, L.P., To Operate and Maintain Existing P… | 10/08/2020

Presidential Document: Fire Prevention Week, 2020… | 10/08/2020

Presidential Document: Made in America Day and Made in America Week, 2020… | 10/08/2020

Presidential Document: Authorizing Express Pipeline, LLC, To Operate and Maintain Existing Pi… | 10/08/2020

Presidential Document: Saving Lives Through Increased Support for Mental- and Behavioral-Heal… | 10/08/2020

Presidential Document: Authorizing Front Range Pipeline, LLC, To Operate and Maintain Existin… | 10/08/2020

Presidential Document: National Manufacturing Day, 2020… | 10/07/2020

Presidential Document: National Energy Awareness Month, 2020… | 10/06/2020

 
 
 
FDIC
 
 
 
 
 
 

Notice: Notice of Termination of Receiverships… | 10/09/2020

Financial Institution Letter: FIL-96-2020 – Regulatory Relief: Guidance to Help Financial Institutio… | 10/09/2020

Financial Institution Letter: FIL-95-2020 – Bank Secrecy Act: Customer Identification Program Rule E… | 10/09/2020

Final Rule: Regulatory Capital Rule: Temporary Changes to and Transition for the C… | 10/09/2020

Speech: Remarks of Chairman Jelena McWilliams to the SRB Annual Conference “Re… | 10/08/2020

Press Release: FDIC to Host Inaugural Meeting of Advisory Committee of State Regulato… | 10/08/2020

Final Rule: Regulatory Capital Rule and Total Loss-Absorbing Capacity Rule: Eligib… | 10/08/2020

Notice: FDIC Advisory Committee on Economic Inclusion (ComE-IN); Notice of Mee… | 10/07/2020

Press Release: FDIC Issues List of Banks Examined for CRA Compliance… | 10/05/2020

Press Release: FDIC Issues List of Banks Examined for CRA Compliance — October 2020 … | 10/05/2020

 
 
 
FINCEN
 
 
 
 

News: Federal Banking Agencies and FinCEN Announce Exemption from Customer I… | 10/09/2020

 
 
 
FINRA
 
 
 
 
 
 

AWCs (Letters of Acceptance, Waiver, and Consent): Jenna Kang AWCs (Letters of Acceptance, Waiver, and Consent)… | 10/08/2020

Notice: Self-Regulatory Organizations; Financial Industry Regulatory Authority… | 10/07/2020

AWCs (Letters of Acceptance, Waiver, and Consent): Dwight L. Dykstra AWCs (Letters of Acceptance, Waiver, and Consent)… | 10/07/2020

News: FINRA to Hold Artificial Intelligence (AI) Virtual Conference and FinT… | 10/07/2020

AWCs (Letters of Acceptance, Waiver, and Consent): Raymond James & Associates, Inc. AWCs (Letters of Acceptance, Waiver, … | 10/07/2020

Complaints: Matthew R. Logan Complaints… | 10/07/2020

AWCs (Letters of Acceptance, Waiver, and Consent): Stephen Leroy Whittaker AWCs (Letters of Acceptance, Waiver, and Conse… | 10/07/2020

AWCs (Letters of Acceptance, Waiver, and Consent): Neemit M. Shah AWCs (Letters of Acceptance, Waiver, and Consent)… | 10/06/2020

Notices: Regulatory Notice 20-35 FINRA Alerts Firms to Phishing Email Requestin… | 10/06/2020

AWCs (Letters of Acceptance, Waiver, and Consent): Steven Michael Gribben AWCs (Letters of Acceptance, Waiver, and Consen… | 10/06/2020

 
 
 
FRS
 
 
 
 
 
 
 
 

Final Rule: Regulatory Capital Rule: Temporary Changes to and Transition for the C… | 10/09/2020

SR Letter: SR 20-22 ISDA IBOR Fallback Protocol and IBOR Fallback Supplement… | 10/09/2020

SR Letter: SR 20-23 Interagency Order Granting an Exemption from Customer Identif… | 10/09/2020

Notice: Proposed Agency Information Collection Activities; Comment Request… | 10/08/2020

Final Rule: Regulatory Capital Rule and Total Loss-Absorbing Capacity Rule: Eligib… | 10/08/2020

Notice: Formations of, Acquisitions by, and Mergers of Bank Holding Companies… | 10/08/2020

Notice: Formations of, Acquisitions by, and Mergers of Bank Holding Companies… | 10/07/2020

Press Release: Attachment (PDF) – Federal Reserve Board announces approval of applica… | 10/07/2020

Cease and Desist Order: Citigroup, Inc., New York, New York… | 10/07/2020

Press Release: Minutes of the Federal Open Market Committee, September 15-16, 2020… | 10/07/2020

 
 
 
FTC
 
 
 
 
 
 
 
 

Speech: Prepared Remarks of Chairman Joseph Simons at Fordham University=E2=80=99s 47t… | 10/09/2020

News: FTC Requests Public Comment on Otto Bock HealthCare North America, Inc… | 10/09/2020

Event: Jeremy Sandford will represent Cmmr. Christine S. Wilson at the Effici… | 10/08/2020

Event: Eleventh Annual African Consumer Protection Dialogue Conference Protec… | 10/08/2020

News: Jeremy Sandford will represent Cmmr. Christine S. Wilson at the Effici… | 10/08/2020

Enforcement Order: Administrative Law Judge’s Order Canceling Final Prehearing Conference… | 10/08/2020

Proposed Rule: Duties of Creditors Regarding Risk-Based Pricing Rule… | 10/08/2020

Enforcement Order: Commission Order Staying Commencement of Evidentiary Hearing (159.97 K… | 10/08/2020

Event: Eleventh Annual African Consumer Protection Dialogue Conference Protec… | 10/07/2020

Event: Eleventh Annual African Consumer Protection Dialogue Conference Protec… | 10/07/2020

 
 
 
Fannie
 
 
 
 

Industry Guidance: Announcement SEL-2020-06 – Selling Guide Updates… | 10/07/2020

 
 
 
Freddie
 
 
 
 

Bulletin: Bulletin 2020-38 Selling… | 10/07/2020

 
 
 
INT-BIS
 
 
 
 

News: Central banks and BIS publish first central bank digital currency (CBD… | 10/09/2020

News: Central banks and BIS publish first central bank digital currency (CBD… | 10/09/2020

News: BIS Innovation Hub and Saudi G20 Presidency announce TechSprint winner… | 10/06/2020

 
 
 
INT-EBA
 
 
 
 

News: EBA saw that NPL ratios remained stable in Q2-2020 although early sign… | 10/05/2020

 
 
 
INT-EC
 
 
 
 

News: Sanctions: Commission expands Guidance on COVID-19-related humanitaria… | 10/09/2020

 
 
 
INT-FSB
 
 
 
 

Agency Update: BigTech firms in finance in emerging market and developing economies -… | 10/12/2020

Agency Update: BigTech firms in finance in emerging market and developing economies… | 10/12/2020

News: FSB report considers financial stability implications of BigTech in fi… | 10/12/2020

Agency Update: The Use of Supervisory and Regulatory Technology by Authorities and Re… | 10/09/2020

News: FSB report highlights increased use of RegTech and SupTech… | 10/09/2020

Agency Update: The Use of Supervisory and Regulatory Technology by Authorities and Re… | 10/09/2020

News: FSB encourages broad and timely adherence to the ISDA IBOR Fallbacks P… | 10/09/2020

Agency Update: Fifth Progress Report =C3=A2=E2=82=AC” Countdown to 2021 in light of COVID-19… | 10/07/2020

Agency Update: Fifth Progress Report =C3=A2=E2=82=AC” Countdown to 2021 in light of COVID-19 — PD… | 10/07/2020

News: FSB and IMF publish 2020 Progress Report on G20 Data Gaps Initiative… | 10/07/2020

 
 
 
INT-IOSCO
 
 
 
 

Agency Update: World Investor Week 2019… | 10/08/2020

Media Release: IOSCO Launches its fourth World Investor Week to enhance investor educ… | 10/05/2020

 
 
 
INT-TWG
 
 
 
 

News: Publication of Japanese and Spanish CBDDQ materials… | 10/05/2020

 
 
 
NYSE
 
 
 
 

Notice: Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of … | 10/09/2020

 
 
 
OCC
 
 
 
 
 
 

Bulletin: OCC 2020-88 Bank Secrecy Act/Anti-Money Laundering : Revised Order Gra… | 10/09/2020

Final Rule: Regulatory Capital Rule: Temporary Changes to and Transition for the C… | 10/09/2020

Final Rule: Regulatory Capital Rule and Total Loss-Absorbing Capacity Rule: Eligib… | 10/08/2020

News Release: NR 2020-133 OCC Allows National Banks and Federal Savings Associations… | 10/08/2020

News Release: NR 2020-134 OCC Assesses $60 Million Civil Money Penalty Against Morga… | 10/08/2020

Bulletin: OCC 2020-87 Regulatory Capital Rule: Eligible Retained Income : Final … | 10/08/2020

News Release: NR 2020-132 OCC Assesses $400 Million Civil Money Penalty Against Citi… | 10/07/2020

Notice: Agency Information Collection Activities; Information Collection Renew… | 10/05/2020

Notice: Agency Information Collection Activities; Information Collection Renew… | 10/05/2020

Notice: Agency Information Collection Activities: Information Collection Renew… | 10/05/2020

 
 
 
OFAC
 
 
 
 

Notice: Notice of OFAC Sanctions Actions… | 10/05/2020

Notice: Notice of OFAC Sanctions Action… | 10/05/2020

Notice: Notice of OFAC Sanctions Action… | 10/05/2020

 
 
 
SEC
 
 
 
 
 
 
 
 

Notice: Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and I… | 10/09/2020

News: The Car Talk of Capital Raising… | 10/09/2020

Notice: Sunshine Act Meeting; Cancellation… | 10/09/2020

Notice: D.B. Fitzpatrick & Co., Inc…. | 10/09/2020

Notice: Self-Regulatory Organizations; National Securities Clearing Corporatio… | 10/09/2020

Notice: Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing a… | 10/09/2020

Notice: Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of … | 10/09/2020

Notice: Development Bank of Japan Inc…. | 10/09/2020

Incoming Letter: Connecticut Medical Insurance Company… | 10/09/2020

Final Rule: Accredited Investor Definition… | 10/09/2020

 
 
 
TREAS
 
 
 
 
 
 

Statements: Letter from Secretary Steven T. Mnuchin to Members of the House and Se… | 10/11/2020

Press Release: Treasury Sanctions Nicaraguan Financial Institution and Officials Supp… | 10/09/2020

Notice: Federal Insurance Office Study on the Insurance Capital Standard… | 10/09/2020

Final Rule: Import Restrictions Imposed on Archaeological Material From Chile… | 10/09/2020

Press Release: Treasury Sanctions Eighteen Major Iranian Banks… | 10/08/2020

Notice: Senior Executive Service; Legal Division Performance Review Board… | 10/08/2020

Press Release: SBA and Treasury Announce Simpler PPP Forgiveness for Loans of $50,000… | 10/08/2020

Readout: Readout from a Treasury Spokesperson on Secretary Mnuchin’s Call with … | 10/07/2020

Statement: Remarks of Deputy Secretary Justin Muzinich at the Atlantic Council Ge… | 10/07/2020

Statements: Statement from Secretary Steven T. Mnuchin on the Annual Meetings of t… | 10/07/2020

 
 
 
UK-BOE
 
 
 
 
 
 
 
 

Event: Fintech AI Public-Private Forum… | 10/12/2020

News: Lords Economic Affairs Committee – Formal meeting (oral evidence sessi… | 10/09/2020

News: Anna Sweeney: Panellist at The Carbon Trust Corporate Sustainability S… | 10/09/2020

News: Sarah John: Innovate Finance All-Party Parliamentary Group on FinTech … | 10/09/2020

News: Update on the Covid Corporate Financing Facility (CCFF) =E2=80=93 Market Notic… | 10/09/2020

News: Fintech AI Public-Private Forum… | 10/09/2020

News: Central banks and BIS publish first central bank digital currency (CBD… | 10/09/2020

Working Paper: The interaction between macroprudential policy and monetary policy: ov… | 10/09/2020

Event: Andy Haldane: Organisation for Economic Co-operation and Development (… | 10/09/2020

News Release: Central banks and BIS publish first central bank digital currency (CBD… | 10/09/2020

 
 
 
UK-FCA
 
 
 
 

News: Trusted Mortgage Claims… | 10/12/2020

News: Inquot Investing Group… | 10/12/2020

News: Market abuse in a time of Coronavirus… | 10/12/2020

News: FCA bans IFA directors who provided false and misleading SIPP declarat… | 10/12/2020

News: Aegon London (Clone of an FCA authorised firm)… | 10/12/2020

News: Moneycorp life and wealth investment Management (Clone of EEA authoris… | 10/12/2020

News: Infinity Loans / Chetwood Financial (clone of an FCA authorised firm)… | 10/12/2020

News: Aviva Investment Solutions (clone of authorised firm)… | 10/09/2020

News: FCA writes joint letter with the Bank to CEOs of UK and international … | 10/09/2020

News: Fundamental Index Emerging Equity Fund (clone of a recognised product)… | 10/09/2020

 
 
 
UK-ICO
 
 
 
 
 
 

News: Keynote at PDP=E2=80=99s 19th annual data protection conference… | 10/08/2020

News: ICO takes action against company for sending spam emails selling face … | 10/08/2020

Monetary penalties: Studios MG Limited — Studios MG Limited monetary penalty notice… | 10/08/2020

Agency Update: Studios MG Limited… | 10/08/2020

Decision Notice: Mersey Care NHS Trust… | 10/08/2020

Agency Update: Studios MG Limited… | 10/08/2020

Enforcement notices: Studios MG Limited — Studios MG Limited enforcement notice… | 10/08/2020

Decision Notice: Avon and Wiltshire Mental Health Partnership NHS Trust… | 10/08/2020

News: Statement on the outcome of the ICO=E2=80=99s compulsory audit of the Departme… | 10/07/2020

Decision Notice: Cabinet Office… | 10/07/2020

 
 
 
UK-LSB
 
 
 
 

News: Atom bank becomes an interim registered firm with the LSB’s Standards … | 10/06/2020

News: Atom bank becomes an interim registered firm with the LSB’s Standards … | 10/06/2020

News: Atom bank becomes an interim registered firm with the LSB’s Standards … | 10/06/2020

 
 
 
UK-PRA
 
 
 
 

Letter: Letter from Credit Union Supervision Team to Directors of PRA-regulate… | 10/07/2020

Letter: Letter from Credit Union Supervision Team to Directors of PRA-regulate… | 10/07/2020

Prudential Regulation: PRA Rulebook: Solvency II Firms: Non Solvency II Firms: Non Authorised… | 10/07/2020

Prudential Regulation: PRA Rulebook: Solvency II Firms: Non Solvency II Firms: Non Authorised… | 10/07/2020

Consultation paper: Market risk: Calculation of risks not in value at risk, and stressed v… | 10/06/2020

Consultation paper: Market risk: Calculation of risks not in value at risk, and stressed v… | 10/06/2020

 
 
 
VA
 
 
 
 

Final Rule: Disclosure of Certain Protected Records Without Written Consent… | 10/09/2020

Notice: Agency Information Collection Activity: Statement of Person Claiming T… | 10/09/2020

Notice: Agency Information Collection Activity: VA Advance Directive: Durable … | 10/08/2020

Notice: Agency Information Collection Activity: Mandatory Verification of Depe… | 10/08/2020

Notice: Agency Information Collection Activity: Application for Assumption App… | 10/08/2020

Notice: Advisory Committee on Cemeteries and Memorials, Notice of Meeting… | 10/08/2020

Notice: Agency Information Collection Activity: VA-Guaranteed Home Loan Cash-O… | 10/08/2020

Final Rule: Extension of Veterans’ Group Life Insurance (VGLI) Application Periods… | 10/07/2020

Notice: Advisory Committee on the Readjustment of Veterans, Notice of Meeting… | 10/07/2020

Notice: Certification of Implementation of the Caregiver Records Management Ap… | 10/07/2020

 

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