Regulatory Agency Updates | Week of Oct 05 to Oct 12

Agency Report Oct 5 - 12 feat img

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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