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

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FINRA enforcements increased 21% over the past 30 days

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FTC issued enforcements: $8,726,254.27 over the past 30 days

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165 Final Rules go into effect in the next 30 days

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55 Mortgage Lending docs published in the last 7 days

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5330 docs with 12540 extracted obligations from the last 7 days

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

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11692 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

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Regulatory Agency Updates | Week of Oct 07 - Oct 14

 
 
CA-OPC
 
 
 
 

Agency Update: Key privacy practices for public servants working on the GCWCC campaig… | 10/11/2019

News: Announcement: Beware of calls asking for your Social Insurance Number… | 10/08/2019

 
 
 
CFPB
 
 
 
 

News: Program for International Student Assessment (PISA): Financial Literac… | 10/11/2019

News: CFPB Announces Taskforce on Federal Consumer Financial Law… | 10/11/2019

Comment: Home Mortgage Disclosure (Regulation C); Public Submission; South Stor… | 10/10/2019

Comment: Home Mortgage Disclosure (Regulation C); Public Submission; Jennifer L… | 10/10/2019

Comment: Home Mortgage Disclosure (Regulation C); Public Submission; South Stor… | 10/10/2019

Comment: Home Mortgage Disclosure (Regulation C); Public Submission; Tara Evans… | 10/10/2019

News: The CFPB Ombudsman=E2=80=99s Office celebrates the 2nd Annual Ombuds Day… | 10/10/2019

News: Consumer Financial Protection Bureau Issues Final HMDA Rule to Provide… | 10/10/2019

Comment: Home Mortgage Disclosure (Regulation C); Public Submission; Vanessa Se… | 10/09/2019

Comment: Home Mortgage Disclosure (Regulation C); Public Submission; Martha Men… | 10/09/2019

 
 
 
DOJ
 
 
 
 

Notice: Notice of Lodging of Proposed Consent Decree Under the Clean Air Act… | 10/11/2019

Notice: Privacy Act of 1974; System of Records… | 10/09/2019

Notice: Notice of Lodging Proposed Consent Decree… | 10/09/2019

Notice: Privacy Act of 1974; System of Records… | 10/09/2019

Notice: Notice of Lodging of Proposed Consent Decree Under the Clean Water Act… | 10/09/2019

Agency Update: Announcing New Annual FOIA Report Tool for Agencies on FOIA.gov and Up… | 10/08/2019

Notice: Privacy Act of 1974; System of Records… | 10/08/2019

Agency Update: The Community Relations Service Updates Its Website… | 10/07/2019

Notice: Agency Information Collection Activities; Proposed eCollection eCommen… | 10/07/2019

Agency Update: Key FOIA Resources: 2019 Department of Justice Guide to the Freedom of… | 10/07/2019

 
 
 
DOL
 
 
 
 

Notice: Privacy Act of 1974; Publication of New Notice of System of Records… | 10/11/2019

Notice: Agency Information Collection Activities; Submission for OMB Review; C… | 10/08/2019

Notice: Agency Information Collection Activities; Submission for OMB Review; C… | 10/08/2019

Notice: Child Labor, Forced Labor, and Forced or Indentured Child Labor in the… | 10/07/2019

 
 
 
EBSA
 
 
 
 

Notice: Proposed Extension of Information Collection Requests Submitted for Pu… | 10/10/2019

 
 
 
EOP
 
 
 
 

Presidential Document: Leif Erikson Day, 2019… | 10/11/2019

Presidential Document: Fire Prevention Week, 2019… | 10/09/2019

Presidential Document: German-American Day, 2019… | 10/09/2019

Presidential Document: Suspension of Entry of Immigrants Who Will Financially Burden the Unit… | 10/09/2019

Presidential Document: Child Health Day, 2019… | 10/09/2019

Notice: Submission for Review: Survey on Practices and Policies Related to the… | 10/08/2019

Notice: Submission for Review: Survey on the Treatment of Opioid Use Disorders… | 10/08/2019

Presidential Document: National Manufacturing Day, 2019… | 10/08/2019

Presidential Document: Protecting and Improving Medicare for Our Nation’s Seniors… | 10/08/2019

 
 
 
FDIC
 
 
 
 
 
 

Notice: Sunshine Act Meeting… | 10/11/2019

News: Consolidated Reports of Condition and Income… | 10/11/2019

News: Federal Deposit Insurance Corporation
Office of the Comptroller of the… | 10/10/2019

Final Rule: Thresholds Increase for the Major Assets Prohibition of the Depository… | 10/10/2019

News: “If you don’t pay on the bridge, you will pay on the k=C3=B6pr=C3=BC”
Keynote R… | 10/10/2019

News: Proposed Rescission of FDIC Statements of Policy… | 10/10/2019

News: Interagency Final Rule Raises Thresholds in the Major Assets Prohibiti… | 10/10/2019

News: Regulatory Relief
Supervisory Practices Regarding Depository Instituti… | 10/10/2019

Proposed Rule: Removal of Transferred OTS Regulations Regarding Reporting Requirement… | 10/09/2019

Proposed Rule: Interest Rate Restrictions on Institutions That Are Less Than Well Cap… | 10/09/2019

 
 
 
FINCEN
 
 
 
 

Final Rule: Financial Crimes Enforcement Network; Inflation Adjustment of Civil Mo… | 10/10/2019

Notice: Renewal Without Change of Information Collection Requirements in Conne… | 10/08/2019

 
 
 
FRS
 
 
 
 
 
 

Notice: Formations of, Acquisitions by, and Mergers of Bank Holding Companies… | 10/11/2019

News: Statement Regarding Monetary Policy Implementation… | 10/11/2019

News: Frequently Asked Questions for the Federal Open Market Committee’s Sta… | 10/11/2019

News: Steven B. Kamin, director of Division of International Finance, to ste… | 10/11/2019

News: Federal Reserve Board announces approval of application by Magnolia Ba… | 10/11/2019

News: Statement Regarding Treasury Bill Purchases and Repurchase Operations … | 10/11/2019

Notice: Change in Bank Control Notices; Acquisitions of Shares of a Bank or Ba… | 10/11/2019

Notice: Formations of, Acquisitions by, and Mergers of Bank Holding Companies… | 10/11/2019

News: Attachment (PDF) – Federal Reserve Board announces approval of applica… | 10/11/2019

News: Federal Reserve Board announces it is seeking to permanently bar forme… | 10/10/2019

 
 
 
FTC
 
 
 
 

News: Closed Commission Meeting… | 10/11/2019

News: PrivacyCon 2020… | 10/11/2019

Agency Update: International Monthly: October 2019… | 10/11/2019

Enforcement: Reembolsos de FTC v. J. Williams Enterprises… | 10/11/2019

News: FTC Chairman Joe Simons Announces the Planned Departure of Bureau of C… | 10/11/2019

News: FTC Sending Refund Checks for Nearly $2.7 Million to Consumers Defraud… | 10/10/2019

Enforcement: Refunds in FTC v. J. Williams Enterprises… | 10/10/2019

Enforcement: Reembolsos de LifeLock… | 10/09/2019

Enforcement: Coaching Department… | 10/09/2019

News: Cmr. Chopra participates in fireside chat at GeekWire Summit 2019… | 10/08/2019

 
 
 
Fannie
 
 
 
 

News: Without Data Standards, the Mortgage Industry Doesn’t Go Digital… | 10/10/2019

News: Servicing Notice: Eliminating Servicer Responsibilities for Paying HOA… | 10/09/2019

News: DU Version 10.3 December Release… | 10/09/2019

 
 
 
Freddie
 
 
 
 

Bulletin: Bulletin 2019-21 Servicing Updates… | 10/09/2019

 
 
 
INT-BIS
 
 
 
 

Agency Update: Predicting recessions: financial cycle versus term spread… | 10/11/2019

News: Report sets out governance of key OTC derivatives data elements… | 10/09/2019

News: SNB and BIS sign operational agreement on BIS Innovation Hub Centre in… | 10/08/2019

News: BIS committees release two major reports on unconventional policy tool… | 10/07/2019

 
 
 
INT-EBA
 
 
 
 

News: EBA publishes work programme for 2020… | 10/10/2019

News: ESA’s Joint Board of Appeal decides on appeal against the EBA… | 10/08/2019

News: EBA urges continued progress in financial institutions’ preparations f… | 10/08/2019

 
 
 
INT-EC
 
 
 
 

News: The Commission launches a public consultation on the review of the EU … | 10/11/2019

News: The Commission launches a public consultation on implementing the fina… | 10/11/2019

News: Opening remarks of Vice-President Valdis Dombrovskis at the ECOFIN pre… | 10/10/2019

News: Capital markets union: Commission launches call for members to join hi… | 10/10/2019

 
 
 
INT-FSB
 
 
 
 

Agency Update: G20 Data Gaps Initiative (DGI-2): The Fourth Progress Report – Countdo… | 10/11/2019

News: FSB and IMF publish 2019 Progress Report on G20 Data Gaps Initiative… | 10/11/2019

Agency Update: G20 Data Gaps Initiative (DGI-2): The Fourth Progress Report – Countdo… | 10/11/2019

Agency Update: G20 Data Gaps Initiative (DGI-2): The Fourth Progress Report – Countdo… | 10/11/2019

News: Resolution in an integrated global financial system: the role of opera… | 10/10/2019

Agency Update: Governance arrangements for the UPI — PDF… | 10/09/2019

News: FSB publishes UPI governance arrangements… | 10/09/2019

Agency Update: Governance arrangements for the UPI… | 10/09/2019

 
 
 
NCUA
 
 
 
 

Notice: Agency Information Collection Activities: Proposed Collection; Comment… | 10/07/2019

Notice: Agency Information Collection Activities: Proposed Collection; Comment… | 10/07/2019

Final Rule: Supervisory Committee Audits and Verifications… | 10/07/2019

 
 
 
OCC
 
 
 
 
 
 

News Release: News Release 2019-118… | 10/11/2019

Enforcement: Citibank, N.A. 1461 BCMP 30000000.0… | 10/11/2019

Bulletin: OCC Bulletin 2019-47… | 10/10/2019

Bulletin: OCC Bulletin 2019-46… | 10/10/2019

Final Rule: Thresholds Increase for the Major Assets Prohibition of the Depository… | 10/10/2019

Final Rule: Amendments to the Stress Testing Rule for National Banks and Federal S… | 10/10/2019

Bulletin: OCC Bulletin 2019-45… | 10/09/2019

News Release: News Release 2019-117… | 10/08/2019

Final Rule: Real Estate Appraisals… | 10/08/2019

News: OCC to Host Innovation Office Hours in Las Vegas… | 10/07/2019

 
 
 
OFAC
 
 
 
 

Notice: Notice of OFAC Sanctions Actions… | 10/11/2019

 
 
 
SEC
 
 
 
 
 
 

Enforcement: John Busshaus, CPA… | 10/11/2019

News: SEC Halts Alleged $1.7 Billion Unregistered Digital Token Offering… | 10/11/2019

Enforcement: SEC Complaint – Richard Andrew Mallion… | 10/11/2019

Enforcement: UQM Technologies, Inc…. | 10/11/2019

News: PCAOB Board Member Kathleen Hamm to Complete Term… | 10/11/2019

Notice: Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Fili… | 10/11/2019

News: SEC Educational Videos Aim to Help Investors Spot and Avoid Fraud… | 10/11/2019

News: SEC Appoints Rebekah Goshorn Jurata to PCAOB; Announces Commissioner H… | 10/11/2019

Proposed Rule: Rescission of Effective-Upon-Filing Procedure for NMS Plan Fee Amendme… | 10/11/2019

Enforcement: Richard Andrew Mallion… | 10/11/2019

 
 
 
TREAS
 
 
 
 

Agency Update: U.S. Department of the Treasury… | 10/11/2019

News: U.S. Department of the Treasury… | 10/11/2019

Notice: List of Countries Requiring Cooperation With an International Boycott… | 10/10/2019

News: U.S. Department of the Treasury… | 10/10/2019

Notice: Agency Information Collection Activities; Submission for OMB Review; C… | 10/09/2019

Notice: Senior Executive Service; Legal Division Performance Review Board… | 10/08/2019

News: U.S. Department of the Treasury… | 10/08/2019

News: U.S. Department of the Treasury… | 10/08/2019

Notice: Public Meeting of the Commission on Social Impact Partnerships… | 10/08/2019

Notice: Interest Rate Paid on Cash Deposited To Secure U.S. Immigration and Cu… | 10/08/2019

 
 
 
UK-BOE
 
 
 
 
 
 

News: Treasury Select Committee hearing on the =E2=80=9CBank of England Financial St… | 10/11/2019

News: Information transparency on asset-backed securities – Market Notice Oc… | 10/11/2019

News: Detailed transparency requirements for asset backed securities and cov… | 10/11/2019

Agency Update: OTC microstructure in a period of stress: a multi-layered network appr… | 10/11/2019

Agency Update: A structural model of interbank network formation and contagion… | 10/11/2019

Working Paper: OTC microstructure in a period of stress: a multi-layered network appr… | 10/11/2019

Working Paper: OTC microstructure in a period of stress: a multi-layered network appr… | 10/11/2019

Agency Update: Detailed transparency requirements for asset backed securities and cov… | 10/11/2019

Working Paper: A structural model of interbank network formation and contagion… | 10/11/2019

Working Paper: A structural model of interbank network formation and contagion — A s… | 10/11/2019

 
 
 
UK-CMA
 
 
 
 

Press Release: CMA alleges guitar firm illegally prevented price discounts… | 10/08/2019

News Story: Merger of payment software providers raises competition concerns… | 10/07/2019

Press Release: Cleaning chemicals firm must sell acquired business… | 10/07/2019

 
 
 
UK-FCA
 
 
 
 

News: Building better bridges: a world-leading investment industry around ou… | 10/11/2019

News: FCA sets out latest expectations for firms on Brexit… | 10/11/2019

News: Bancorp Finance… | 10/11/2019

News: The FCA fines Tullett Prebon =C2=A315.4 million… | 10/11/2019

News: Ellis Finance… | 10/11/2019

News: Class, cliques and social codes: doing more on diversity… | 10/10/2019

News: Broker Insurance Services Limited (clone of authorised firm)… | 10/10/2019

News: Reyker Securities PLC enters special administration… | 10/09/2019

News: Customer Claims Assist (Scam)… | 10/09/2019

News: Hans Herbert Bock / HHB Wealth Management (clone of passported firm)… | 10/09/2019

 
 
 
UK-HMT
 
 
 
 
 
 
 
 

Transparency: Hospitality received by HMT special advisers: April-June 2019… | 10/11/2019

Transparency: HMT exceptions to cross-government moratoria on spending: Q1 April to … | 10/11/2019

Transparency: Transparency data HMT ministers’ meetings, hospitality, gifts and over… | 10/11/2019

News Story: Midland Metropolitan hospital gets extra government support… | 10/11/2019

Speech: The Chancellor’s speech at the GG2 Leadership Awards… | 10/10/2019

Consultation Outcome: Ensuring tenants’ access to gigabit-capable connections… | 10/09/2019

Press Release: Banks pledge their support to SMEs through Brexit and beyond in new Ch… | 10/09/2019

Policy Paper: SME Finance Charter… | 10/09/2019

Guidance: Preston guidance: October 2019… | 10/08/2019

News Story: Temporary tariff regime updated… | 10/08/2019

 
 
 
UK-ICO
 
 
 
 

Advisory visit: TalentEd… | 10/11/2019

Audit: Her Majesty’s Revenue and Customs (HMRC)… | 10/10/2019

Audit: Her Majesty’s Revenue and Customs (HMRC) — Her Majesty’s Revenue and … | 10/10/2019

Follow up audit: Cambridge University… | 10/10/2019

Advisory visit: Optimal Living… | 10/07/2019

Audit: Children and Family Court Advisory and Support Service (Cafcass) — Ch… | 10/07/2019

Audit: Children and Family Court Advisory and Support Service (Cafcass)… | 10/07/2019

 
 
 
UK-PRA
 
 
 
 

Consultation paper: Solvency II: Adjusting for the reduction of loss absorbency where own … | 10/11/2019

Consultation paper: Solvency II: Adjusting for the reduction of loss absorbency where own … | 10/11/2019

Consultation paper: Occasional Consultation Paper – Consultation Paper 25/19… | 10/07/2019

Consultation paper: Occasional Consultation Paper… | 10/07/2019

 
 
 
VA
 
 
 
 

Final Rule: VA Claims and Appeals Modernization; Correction… | 10/09/2019

Notice: Agency Information Collection Activity: Application for Refund of Educ… | 10/08/2019

Circular: Circular 26-19-27 – Special Relief Following Hurricane Dorian… | 10/08/2019

Notice: Agency Information Collection Activity Under OMB Review: Alternate Sig… | 10/07/2019

Notice: Agency Information Collection Activity Under OMB Review: Expanded Acce… | 10/07/2019

Notice: Agency Information Collection Activity: VA Financial Services Center (… | 10/07/2019

 

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