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

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SEC enforcements decreased 119% over the past 30 days

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SEC issued enforcements: $59,971,440.07 over the past 30 days

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59 Final Rules go into effect in the next 30 days

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27 Mortgage Lending docs published in the last 7 days

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210 docs with 2467 extracted obligations from the last 7 days

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

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2045 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 Oct 19 - 26

 
 
CA-OPC
 
 
 
 

News: Announcement: 2019-2020 ATIP Annual Reports tabled in Parliament… | 10/20/2020

 
 
 
CFPB
 
 
 
 

Final Rule: Qualified Mortgage Definition Under the Truth in Lending Act (Regulati… | 10/26/2020

Comment: CARD Act Rules Review Pursuant to the Regulatory Flexibility Act; Requ… | 10/23/2020

Comment: CARD Act Rules Review Pursuant to the Regulatory Flexibility Act; Requ… | 10/22/2020

Press release: Consumer Financial Protection Bureau Releases Advance Notice of Propos… | 10/22/2020

Press release: Consumer Financial Protection Bureau Issues Final Rule Extending the G… | 10/20/2020

 
 
 
CFTC
 
 
 
 

Notice: Agency Information Collection Activities: Notice of Intent To Extend C… | 10/26/2020

Notice: Agency Information Collection Activities Under OMB Review… | 10/26/2020

Notice: Agency Information Collection Activities Under OMB Review… | 10/26/2020

Agency Update: 20-34… | 10/21/2020

Final Rule: Registration With Alternative Compliance for Non-U.S. Derivatives Clea… | 10/21/2020

Notice: Agency Information Collection Activities: Notice of Intent To Revise C… | 10/20/2020

Notice: Sunshine Act Meetings… | 10/20/2020

 
 
 
DOJ
 
 
 
 

Notice: Agency Information Collection Activities; Proposed eCollection eCommen… | 10/26/2020

Notice: Agency Information Collection Activities; Proposed eCollection eCommen… | 10/26/2020

Notice: Notice of Lodging of Proposed Consent Decree Under the Clean Air Act… | 10/23/2020

Notice: Designation of Criminal Division as =E2=80=9CDesignated Authority=E2=80=9D Under an Ag… | 10/23/2020

Final Rule: AG Order No. 4877-2020… | 10/23/2020

Notice: Notice of Lodging of Proposed Consent Decree Under the Clean Air Act… | 10/21/2020

Notice: Agency Information Collection Activities; Proposed Collection; Comment… | 10/20/2020

Notice: Agency Information Collection Activities; Proposed Collection; Comment… | 10/20/2020

 
 
 
DOL
 
 
 
 

Notice: Agency Information Collection Activities; Submission for OMB Review; C… | 10/26/2020

Notice: Agency Information Collection Activities; Submission for OMB Review; C… | 10/26/2020

Notice: Agency Information Collection Activities; Submission for OMB Review; C… | 10/23/2020

Notice: Agency Information Collection Activities; Submission for OMB Review; C… | 10/21/2020

Notice: Agency Information Collection Activities; Submission for OMB Review; C… | 10/20/2020

 
 
 
EBSA
 
 
 
 

Notice: Proposed Extension of Information Collection Requests Submitted for Pu… | 10/20/2020

News: CEO and CFO of Kentucky Medical Companies Sentenced to Prison For Defr… | 10/19/2020

 
 
 
EOP
 
 
 
 

Presidential Document: Continuation of the National Emergency With Respect to the Democratic … | 10/26/2020

Presidential Document: Creating Schedule F in the Excepted Service… | 10/26/2020

Presidential Document: National Forest Products Week, 2020… | 10/22/2020

Presidential Document: National Character Counts Week, 2020… | 10/22/2020

Presidential Document: Continuation of the National Emergency With Respect to Significant Nar… | 10/20/2020

Presidential Document: Blind Americans Equality Day, 2020… | 10/19/2020

 
 
 
FDIC
 
 
 
 
 
 
 
 

Proposed Rule: Removal of Transferred OTS Regulations Regarding Certain Subordinate O… | 10/26/2020

Final Rule: Applicability of Annual Independent Audits and Reporting Requirements … | 10/23/2020

Financial Institution Letter: FIL-100-2020 – Regulatory Relief: Guidance to Help Financial Instituti… | 10/23/2020

Financial Institution Letter: FIL-101-2020 – Regulatory Relief: Guidance to Help Financial Instituti… | 10/23/2020

Press Release: FDIC Announces Meeting of Advisory Committee on Community Banking… | 10/23/2020

Press Release: Equity Bank of Andover, Kansas Assumes All of the Deposits of Almena S… | 10/23/2020

Notice: Sunshine Act Meetings… | 10/22/2020

Press Release: FDIC Minority Depository Institutions Subcommittee to Meet… | 10/22/2020

Notice: Update to Notice of Financial Institutions for Which the Federal Depos… | 10/22/2020

Event: Federal Register Notice… | 10/22/2020

 
 
 
FINCEN
 
 
 
 

News: Agencies Invite Comment on Proposed Rule under Bank Secrecy Act… | 10/23/2020

News: First Bitcoin “Mixer” Penalized by FinCEN for Violating Anti-Money Lau… | 10/19/2020

Enforcement: In the Matter of Larry Dean Harmon d/b/a Helix… | 10/19/2020

 
 
 
FINRA
 
 
 
 

Notice: Self-Regulatory Organizations; Financial Industry Regulatory Authority… | 10/26/2020

AWCs (Letters of Acceptance, Waiver, and Consent): Norman Stanley Batansky AWCs (Letters of Acceptance, Waiver, and Conse… | 10/23/2020

Notice: Self-Regulatory Organizations; Financial Industry Regulatory Authority… | 10/23/2020

Notice: Self-Regulatory Organizations; Financial Industry Regulatory Authority… | 10/21/2020

AWCs (Letters of Acceptance, Waiver, and Consent): James Couture AWCs (Letters of Acceptance, Waiver, and Consent)… | 10/21/2020

AWCs (Letters of Acceptance, Waiver, and Consent): Cynthia Diane Cowden AWCs (Letters of Acceptance, Waiver, and Consent)… | 10/21/2020

Notices: Regulatory Notice 20-37 The National Adjudicatory Council (NAC) Revise… | 10/20/2020

AWCs (Letters of Acceptance, Waiver, and Consent): CapFi Financial Partners LLC AWCs (Letters of Acceptance, Waiver, and … | 10/20/2020

Notice: Self-Regulatory Organizations; Financial Industry Regulatory Authority… | 10/20/2020

AWCs (Letters of Acceptance, Waiver, and Consent): Mamoun Charter AWCs (Letters of Acceptance, Waiver, and Consent)… | 10/20/2020

 
 
 
FRS
 
 
 
 
 
 

Notice: Formations of, Acquisitions by, and Mergers of Bank Holding Companies… | 10/23/2020

Notice: Formations of, Acquisitions by, and Mergers of Bank Holding Companies… | 10/23/2020

Press Release: Agencies invite comment on proposed rule under Bank Secrecy Act… | 10/23/2020

Press Release: Federal Register notice: Threshold for the Requirement to Collect, Ret… | 10/23/2020

Press Release: Federal Reserve Board fines the Goldman Sachs Group, Inc. $154 million… | 10/22/2020

Press Release: Federal Reserve Board announces approval of application by Bangor Banc… | 10/22/2020

Press Release: Attachment (PDF) – Federal Reserve Board announces approval of applica… | 10/22/2020

Notice: Change in Bank Control Notices; Acquisitions of Shares of a Bank or Ba… | 10/22/2020

Press Release: Attachment (PDF) – Federal Reserve Board announces approval of applica… | 10/21/2020

Speech: Achieving a Broad-Based and Inclusive Recovery – Governor Lael Brainar… | 10/21/2020

 
 
 
FTC
 
 
 
 
 
 
 
 

Event: Thirteenth Annual Federal Trade Commission Microeconomics Conference -… | 10/23/2020

Event: Thirteenth Annual Federal Trade Commission Microeconomics Conference -… | 10/23/2020

Event: Thirteenth Annual Federal Trade Commission Microeconomics Conference -… | 10/23/2020

Event: Thirteenth Annual Federal Trade Commission Microeconomics Conference -… | 10/23/2020

Event: Thirteenth Annual Federal Trade Commission Microeconomics Conference -… | 10/23/2020

Event: Thirteenth Annual Federal Trade Commission Microeconomics Conference -… | 10/23/2020

Event: Thirteenth Annual Federal Trade Commission Microeconomics Conference -… | 10/23/2020

Notice: Agency Information Collection Activities; Submission for OMB Review; C… | 10/23/2020

Blog: “All Documents” means more than emails and files… | 10/23/2020

Notice: Agency Information Collection Activities; Proposed Collection; Comment… | 10/22/2020

 
 
 
Freddie
 
 
 
 

Bulletin: Bulletin 2020-41 Extension of the Effective Dates for the Purchase of … | 10/21/2020

Bulletin: Bulletin 2020-40 Extension of Temporary COVID-19-Related Flexibilities… | 10/19/2020

 
 
 
INT-EBA
 
 
 
 

News: EBA issues Opinion to address possible infection risk stemming from le… | 10/19/2020

 
 
 
INT-EC
 
 
 
 

News: Coronavirus: EU interoperability gateway goes live, first contact trac… | 10/19/2020

Public Consultations: Review of the European long-term investment funds (ELTIF) regulatory f… | 10/19/2020

News: Sanctions and Human Rights: towards a European framework to address hu… | 10/19/2020

 
 
 
INT-FATF
 
 
 
 

Publication: Public Statement on Counter Proliferation Financing… | 10/23/2020

Publication: The importance of allocating sufficient resources to AML/CFT regimes d… | 10/23/2020

Publication: The FATF Recommendations… | 10/23/2020

Publication: High-Risk Jurisdictions subject to a Call for Action =C3=A2=E2=82=AC” 23 October 20… | 10/23/2020

Publication: Jurisdictions under Increased Monitoring =C3=A2=E2=82=AC” 23 October 2020… | 10/23/2020

Publication: Outcomes FATF Plenary, 21-23 October 2020… | 10/23/2020

Publication: G20 recognises the role of the FATF in the fight against corruption… | 10/22/2020

Publication: Livestream Press Briefing – October 2020 Plenary… | 10/22/2020

Publication: FATF President’s remarks to G20 Anti-Corruption Ministerial… | 10/22/2020

Publication: FATF Plenary, 21-23 October 2020… | 10/21/2020

 
 
 
INT-FSB
 
 
 
 

News: The Financial Stability Board=C3=A2=E2=82=AC=E2=84=A2s Roadmap for Addressing NBFI Vulnerab… | 10/20/2020

Agency Update: Effective Practices for Cyber Incident Response and Recovery: Final Re… | 10/19/2020

Agency Update: Effective Practices for Cyber Incident Response and Recovery: Final Re… | 10/19/2020

Agency Update: Effective Practices for Cyber Incident Response and Recovery: overview… | 10/19/2020

News: FSB encourages use of cyber incident response and recovery toolkit… | 10/19/2020

Agency Update: Effective Practices for Cyber Incident Response and Recovery: overview… | 10/19/2020

 
 
 
NCUA
 
 
 
 

Notice: Sunshine Act Meeting… | 10/26/2020

Notice: Sunshine Act Meetings… | 10/19/2020

 
 
 
NYSE
 
 
 
 

Notice: Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of … | 10/20/2020

Notice: Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of … | 10/19/2020

 
 
 
OCC
 
 
 
 

Comment: National Banks and Federal Savings Associations as Lenders; Public Sub… | 10/22/2020

Comment: Loans in Areas Having Special Flood Hazards; Interagency Questions and… | 10/20/2020

News Release: NR 2020-138 Agencies Issue Final Rule to Strengthen Resilience of Larg… | 10/20/2020

News Release: NR 2020-137 Agencies Finalize Rule to Reduce the Impact of Large Bank … | 10/20/2020

 
 
 
OFAC
 
 
 
 

Notice: Notice of OFAC Sanctions Actions… | 10/23/2020

Notice: Notice of OFAC Sanctions Actions… | 10/22/2020

Notice: Notice of OFAC Sanctions Action… | 10/22/2020

Notice: Notice of OFAC Sanctions Actions…. | 10/22/2020

Notice: Notice of OFAC Sanctions Actions… | 10/20/2020

Notice: Notice of OFAC Sanctions Actions… | 10/20/2020

 
 
 
SEC
 
 
 
 
 
 

Notice: Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing a… | 10/26/2020

Notice: Primark Private Equity Investments Fund and Primark Advisors LLC… | 10/26/2020

Notice: Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing a… | 10/26/2020

Notice: Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Fil… | 10/26/2020

Notice: Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Designation … | 10/26/2020

Notice: Self-Regulatory Organizations; Financial Industry Regulatory Authority… | 10/26/2020

Notice: Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Notice of Fili… | 10/26/2020

Notice: Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Fili… | 10/26/2020

Notice: Sunshine Act Meetings… | 10/26/2020

Notice: Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Fil… | 10/26/2020

 
 
 
TREAS
 
 
 
 

Notice: Proposed Collections; Comment Requests… | 10/22/2020

Press Release: Treasury Designates al-Qa=C3=A2=E2=82=AC=E2=84=A2ida Financial Facilitator… | 10/19/2020

Final Rule: Business Loan Program Temporary Changes; Paycheck Protection Program-A… | 10/19/2020

 
 
 
UK-BOE
 
 
 
 
 
 

Agency Update: Michael Sheren: Hong Kong Green Finance Association 2020 Annual Forum … | 10/23/2020

News Release: Bank of England signs up to ISDA’s IBOR Fallbacks Protocol… | 10/23/2020

News Release: FCA and PRA fine Goldman Sachs International =C3=82=C2=A396.6 million for risk m… | 10/22/2020

News Release: FCA and PRA fine Goldman Sachs International =C3=82=C2=A396.6 million for risk m… | 10/22/2020

News Release: FCA and PRA fine Goldman Sachs International =C3=82=C2=A396.6 million for risk m… | 10/22/2020

Weekly report: Bank of England Weekly Report 21 October 2020… | 10/22/2020

Weekly report: Bank of England Weekly Report 21 October 2020 — View and download his… | 10/22/2020

Agency Update: Final notice to Goldman Sachs International… | 10/22/2020

Agency Update: Final notice to Goldman Sachs International — Final notice to Goldman… | 10/22/2020

Weekly report: Bank of England Weekly Report 21 October 2020 — Further details about… | 10/22/2020

 
 
 
UK-FCA
 
 
 
 

News: FCA highlights continued support for consumers struggling with payment… | 10/22/2020

News: FCA writes joint letter on Brexit with the Bank to CEOs of insurance f… | 10/21/2020

News: General Investment Partners… | 10/21/2020

News: YLP & Co… | 10/21/2020

News: Search Investments Now… | 10/21/2020

News: FCA welcomes Financial Services Bill… | 10/21/2020

News: Meritkapital.co (clone of FCA authorised firm)… | 10/21/2020

News: O.D.D. ASSET MANAGEMENT / ODD Asset Management (Clone of FCA authorise… | 10/21/2020

News: Pibexa… | 10/21/2020

News: Capital24 Option (clone of FCA authorised firm)… | 10/21/2020

 
 
 
UK-ICO
 
 
 
 

News: Blog: Simplifying subject access requests =E2=80=93 new detailed SARs guidance… | 10/21/2020

 
 
 
VA
 
 
 
 

Notice: Privacy Act of 1974: Matching Program… | 10/26/2020

Notice: Agency Information Collection Activity: Veterans Mortgage Life Insuran… | 10/23/2020

Notice: Agency Information Collection Activity: Maintenance of Records… | 10/23/2020

Final Rule: VA Acquisition Regulation: Acquisition of Utility Services, and Contra… | 10/23/2020

Notice: Notice of Performance Review Board Members… | 10/22/2020

Notice: Loan Guaranty Assistance to Eligible Individuals in Acquiring Speciall… | 10/22/2020

Notice: National Research Advisory Council, Notice of Meeting… | 10/21/2020

Notice: Corporate Senior Executive Management Office; Notice of Performance Re… | 10/19/2020

 

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