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

-

SEC enforcements decreased 119% over the past 30 days

-

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

-

59 Final Rules go into effect in the next 30 days

-

28 Mortgage Lending docs published in the last 7 days

-

210 docs with 2467 extracted obligations from the last 7 days

-

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

-

1926 new docs in pro.compliance.ai within the last 7 days

-

Introducing new content from WesPay

-

 
 
CA-OPC
 
 
 
 

News: News release: Cadillac Fairview collected 5 million shoppers=E2=80=99 images… | 10/29/2020

Agency Update: PIPEDA Report of Findings #2020-004: Joint investigation of the Cadill… | 10/28/2020

News: Announcement: Facial recognition and artificial intelligence: Interna… | 10/27/2020

 
 
 
CA-OSFI
 
 
 
 

Letter: Consultation publique – Projet de ligne directrice (E-4)… | 10/27/2020

Letter: Public Consultation – Draft Guideline E-4… | 10/27/2020

 
 
 
CFPB
 
 
 
 
 
 
 
 
 
 

Final Rule: Home Mortgage Disclosure (Regulation C); Correction of Supplementary I… | 11/02/2020

Press release: Consumer Financial Protection Bureau Issues Final Rule to Implement th… | 10/30/2020

Blog: How can a debt collector contact you? Our new rule will help clarify…. | 10/30/2020

Blog: CFPB=C3=A2=E2=82=AC=E2=84=A2s clear rules of the road for debt collector communications lea… | 10/30/2020

Final rule: Debt Collection Practices (Regulation F)… | 10/30/2020

Press release: Agencies Propose Regulation on the Role of Supervisory Guidance… | 10/29/2020

Press release: Consumer Financial Protection Bureau Issues Final Rule, Improves Clari… | 10/29/2020

Speech: Director Kraninger’s Remarks During “Current Priorities in Consumer Fi… | 10/29/2020

Comment: CARD Act Rules Review Pursuant to the Regulatory Flexibility Act; Requ… | 10/28/2020

Comment: CARD Act Rules Review Pursuant to the Regulatory Flexibility Act; Requ… | 10/28/2020

 
 
 
CFTC
 
 
 
 

Notice: Sunshine Act Meetings… | 11/02/2020

News: CFTC=C3=A2=E2=82=AC=E2=84=A2s Enforcement Division Issues Staff Guidance on Recognition of … | 10/29/2020

Notice: Sunshine Act Meetings… | 10/29/2020

Enforcement: Cooperation Self-reporting and Remediation Recognition Guidance… | 10/29/2020

Notice: Agency Information Collection Activities: Notice of Intent To Renew Co… | 10/28/2020

Notice: Agency Information Collection Activities Under OMB Review… | 10/28/2020

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

 
 
 
DOJ
 
 
 
 

Notice: Notice of Lodging of Proposed Consent Decree Under the Comprehensive E… | 10/30/2020

Notice: Notice of Lodging Proposed Consent Decree… | 10/28/2020

Notice: Agency Information Collection Activities; Proposed eCollection, eComme… | 10/27/2020

Notice: Notice of Lodging of Proposed Modification to Consent Decree Under the… | 10/27/2020

Notice: Agency Information Collection Activities; Proposed eCollection eCommen… | 10/27/2020

Notice: Agency Information Collection Activities; Proposed eCollection, eComme… | 10/27/2020

Notice: Agency Information Collection Activities; Proposed eCollection, eComme… | 10/27/2020

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

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

 
 
 
DOL
 
 
 
 

Notice: Agency Information Collection Activities; Submission for OMB Review; C… | 10/29/2020

Notice: Agency Information Collection Activities; Submission for OMB Review; C… | 10/29/2020

Notice: Agency Information Collection Activities; Submission for OMB Review; C… | 10/29/2020

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

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

 
 
 
EBSA
 
 
 
 

News: U.S. Department of Labor Announces Final Rule To Protect Americans=E2=80=99 Re… | 10/30/2020

News: U.S. Department of Labor Restores Over $3.1 Billion to Employee Benefi… | 10/27/2020

News: Federal Court Sentences Georgia Woman to Prison, Orders $1,034,793 In … | 10/26/2020

 
 
 
EOP
 
 
 
 

Presidential Document: Continuation of the National Emergency With Respect to Sudan… | 11/02/2020

Presidential Document: Delegation of Authority Under Section 404(c) of the Child Soldiers Pre… | 10/30/2020

Presidential Document: Presidential Determination and Certification With Respect to the Child… | 10/30/2020

Presidential Document: Adjusting Imports of Aluminum Into the United States… | 10/30/2020

Presidential Document: United Nations Day, 2020… | 10/29/2020

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

 
 
 
FDIC
 
 
 
 
 
 

Notice: Agency Information Collection Activities: Submission for OMB Review; C… | 10/30/2020

Press Release: Joint Release/Agencies Release Paper on Operational Resilience… | 10/30/2020

Press Release: FDIC Makes Public September Enforcement Actions… | 10/30/2020

Press Release: FDIC Makes Public September Enforcement Actions… | 10/30/2020

Press Release: Joint Release/Agencies Release Paper on Operational Resilience — Expl… | 10/30/2020

Press Release: Joint Release/Agencies Propose Regulation on the Role of Supervisory G… | 10/29/2020

Press Release: Joint Release/Agencies Propose Regulation on the Role of Supervisory G… | 10/29/2020

Notice: Update to Notice of Financial Institutions for Which the Federal Depos… | 10/29/2020

Press Release: Joint Release/Agencies Propose Regulation on the Role of Supervisory G… | 10/29/2020

Final Rule: Treatment of Certain Emergency Facilities in the Regulatory Capital Ru… | 10/28/2020

 
 
 
FINCEN
 
 
 
 

News: FinCEN Director Hosts Virtual Law Enforcement Awards Program… | 10/29/2020

Proposed Rule: Threshold for the Requirement To Collect, Retain, and Transmit Informa… | 10/27/2020

 
 
 
FINRA
 
 
 
 
 
 

Notices: Regulatory Notice 20-39 Broker-Dealer, Investment Adviser Firm, Agent … | 10/30/2020

Complaints: Paramveer Singh Complaints… | 10/30/2020

News: New Research: Financial Literacy Is Significant Indicator of Positive … | 10/29/2020

Notice: Self-Regulatory Organizations; Financial Industry Regulatory Authority… | 10/29/2020

Notices: Regulatory Notice 20-38 FINRA Adopts Rule to Limit a Registered Person… | 10/29/2020

AWCs (Letters of Acceptance, Waiver, and Consent): Vonna Kay Husby AWCs (Letters of Acceptance, Waiver, and Consent)… | 10/29/2020

AWCs (Letters of Acceptance, Waiver, and Consent): William T. Burke AWCs (Letters of Acceptance, Waiver, and Consent)… | 10/28/2020

AWCs (Letters of Acceptance, Waiver, and Consent): Andrew J. LeBlanc II AWCs (Letters of Acceptance, Waiver, and Consent)… | 10/28/2020

AWCs (Letters of Acceptance, Waiver, and Consent): David Allen Walters AWCs (Letters of Acceptance, Waiver, and Consent)… | 10/27/2020

AWCs (Letters of Acceptance, Waiver, and Consent): National Securities Corporation AWCs (Letters of Acceptance, Waiver, a… | 10/27/2020

 
 
 
FRS
 
 
 
 
 
 

Notice: Change in Bank Control Notices; Acquisitions of Shares of a Bank or Ba… | 11/02/2020

Notice: Notice of Proposals To Engage in or To Acquire Companies Engaged in Pe… | 10/30/2020

Press Release: Nonprofit Organization New Loan Facility Term Sheet (PDF) – Federal Re… | 10/30/2020

Term Sheet: Main Street New Loan Facility (MSNLF) Term Sheet (October 30, 2020) (P… | 10/30/2020

Term Sheet: Main Street Expanded Loan Facility (MSELF) Term Sheet (October 30, 202… | 10/30/2020

Press Release: Sound Practices to Strengthen Operational Resilience (PDF) – Agencies … | 10/30/2020

FAQs: Main Street Lending Program Frequently Asked Questions (FAQs) For-Prof… | 10/30/2020

Press Release: Federal Reserve Board adjusts terms of Main Street Lending Program to … | 10/30/2020

Press Release: Main Street Priority Loan Facility Term Sheet (PDF) – Federal Reserve … | 10/30/2020

Term Sheet: Main Street Priority Loan Facility (MSPLF) Term Sheet (October 30, 202… | 10/30/2020

 
 
 
FTC
 
 
 
 
 
 
 
 

Notice: Agency Information Collection Activities; Proposed Collection; Comment… | 11/02/2020

Agency Update: Consumer Protection
FTC Signs Updated Memorandum of Understanding with… | 10/31/2020

Consent Order: Agreement Containing Consent Order (41.76 KB) Pfizer/Mylan, In the Mat… | 10/30/2020

Consent Order: Analysis of Proposed Consent Order to Aid Public Comment (35.7 KB) Pfi… | 10/30/2020

Complaint: Complaint (35.71 KB) Pfizer/Mylan, In the Matter of (Administrative)… | 10/30/2020

News: FTC Signs Updated Memorandum of Understanding with Nigerian Consumer P… | 10/30/2020

News: FTC Imposes Conditions on Combination of Pfizer Inc.=C3=A2=E2=82=AC=E2=84=A2s Upjohn and My… | 10/30/2020

Enforcement Order: Decision and Order (215.55 KB) Pfizer/Mylan, In the Matter of (Adminis… | 10/30/2020

Event: Q & A Session 1: Aggregation in the Notice of Proposed Rulemaking – HS… | 10/29/2020

Event: Q & A Session 1: Aggregation in the Notice of Proposed Rulemaking – HS… | 10/29/2020

 
 
 
INT-EBA
 
 
 
 

News: EBA launches consultation on revised Guidelines on sound remuneration … | 10/28/2020

News: EBA issues first monitoring report on TLAC-MREL instruments accompanie… | 10/27/2020

 
 
 
INT-EC
 
 
 
 

News: Joint statement following the third joint committee meeting under the … | 10/30/2020

News: October issue of newsletter is out!… | 10/30/2020

News: Social media influences our political behaviour and puts pressure on o… | 10/27/2020

 
 
 
INT-FSB
 
 
 
 

News: FSB welcomes TCFD status report… | 10/29/2020

News: FSB virtual workshops on FinTech issues… | 10/28/2020

 
 
 
INT-IOSCO
 
 
 
 

Media Release: IOSCO recommendations aim to help develop emerging capital markets… | 10/30/2020

Final Rule: FR09/2020 Development of Emerging Capital Markets: Opportunities, Chal… | 10/30/2020

 
 
 
NCUA
 
 
 
 

Proposed Rule: Derivatives… | 10/29/2020

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

 
 
 
OCC
 
 
 
 
 
 

Bulletin: OCC 2020-94 Operational Risk : Sound Practices to Strengthen Operation… | 10/30/2020

News Release: NR 2020-143 Acting Comptroller of the Currency Kicks off L.A. REACh… | 10/30/2020

News Release: NR 2020-144 Agencies Release Paper on Operational Resilience… | 10/30/2020

Final Rule: National Banks and Federal Savings Associations as Lenders… | 10/30/2020

Comment: Loans in Areas Having Special Flood Hazards; Interagency Questions and… | 10/29/2020

Bulletin: OCC 2020-93 Role of Supervisory Guidance : Notice of Proposed Rulemaki… | 10/29/2020

News Release: NR 2020-142 Agencies Propose Regulation on the Role of Supervisory Gui… | 10/29/2020

Comment: Loans in Areas Having Special Flood Hazards; Interagency Questions and… | 10/28/2020

News Release: NR 2020-141 Office of the Comptroller of the Currency Conditionally Ap… | 10/28/2020

Final Rule: Treatment of Certain Emergency Facilities in the Regulatory Capital Ru… | 10/28/2020

 
 
 
OFAC
 
 
 
 

Notice: Notice of OFAC Sanctions Actions… | 11/02/2020

Notice: Notice of OFAC Sanctions Action… | 10/29/2020

Final Rule: Yemen Sanctions Regulations… | 10/29/2020

Notice: Notice of OFAC Sanctions Actions… | 10/28/2020

Final Rule: Cuban Assets Control Regulations… | 10/27/2020

 
 
 
SEC
 
 
 
 
 
 

Notice: Investment Managers Series Trust II and AXS Investments LLC… | 11/02/2020

Notice: Sunshine Act Meetings… | 11/02/2020

Notice: Sunshine Act Meetings… | 11/02/2020

Notice: Fixed Income Market Structure Advisory Committee… | 11/02/2020

Notice: Self-Regulatory Organizations; MIAX Emerald, LLC; Notice of Filing and… | 11/02/2020

Notice: Managed Portfolio Series and Tortoise Index Solutions, LLC… | 10/30/2020

Notice: Self-Regulatory Organizations; LCH SA; Notice of Filing of Proposed Ru… | 10/30/2020

Enforcement: Alan D. Seidel… | 10/30/2020

Notice: Sunshine Act Meetings… | 10/30/2020

Notice: Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing a… | 10/29/2020

 
 
 
TREAS
 
 
 
 

Notice: Agency Information Collection Activities; Submission for OMB Review; C… | 10/28/2020

Notice: Agency Information Collection Activities; Submission for OMB Review; C… | 10/28/2020

Notice: Agency Information Collection Activities; Submission for OMB Review; C… | 10/28/2020

Notice: Agency Information Collection Activities; Submission for OMB Review; C… | 10/28/2020

Notice: Multiemployer Pension Plan Application To Reduce Benefits… | 10/27/2020

Notice: Multiemployer Pension Plan Application To Reduce Benefits…. | 10/27/2020

 
 
 
UK-BOE
 
 
 
 
 
 

News: Joanna Place: Panellist at the CIPD Annual Conference and Exhibition (… | 10/30/2020

News: Andrew Bailey: Financial Times Global Conference (08:00)… | 10/30/2020

News: Tom Mutton: Panellist at the Financial Stability Board =E2=80=9CBig Tech Firms… | 10/30/2020

News: Sarah Breeden: RiskLive Regulatory keynote: Climate risk regulation (1… | 10/30/2020

News: Silvana Tenreyro: Keynote at the LACEA 2020 Annual meeting “Dollar Dom… | 10/30/2020

News: Sarah Breeden: GARP 2020 Climate Risk Symposium =E2=80=98Building Resilience A… | 10/30/2020

News: Andrew Bailey: UBS Annual Conference =E2=80=9Cin conversation with Axel Weber=E2=80=9D… | 10/30/2020

News: Tom Mutton and Clair Mills: Panellists at the Financial Stability Boar… | 10/30/2020

News: Sarah Breeden: Corporation of London Green Horizon Summit, Mansion Hou… | 10/30/2020

News: Andy Haldane: Reform Think Tank Webinar =E2=80=98The economic impact of corona… | 10/30/2020

 
 
 
UK-FCA
 
 
 
 

News: FCA to announce further proposals to support consumer credit borrowers… | 11/02/2020

News: Topukpropertybonds.co.uk… | 11/02/2020

News: FCA to announce further proposals to support consumer credit borrowers… | 11/02/2020

News: Topukpropertybonds.co.uk… | 11/02/2020

News: FCA to announce further support for mortgage borrowers impacted by cor… | 10/31/2020

News: FCA to announce further support for mortgage borrowers impacted by cor… | 10/31/2020

News: FCA to announce further support for mortgage borrowers impacted by cor… | 10/31/2020

News: Aussie Trust… | 10/30/2020

News: RBC Capital Markets / RBC Investor & Treasury Services / RBC Financial… | 10/30/2020

News: Catalysts Partners Africa Limited (clone of FCA authorised firm)… | 10/30/2020

 
 
 
UK-ICO
 
 
 
 

News: ICO fines Marriott International Inc =C2=A318.4million for failing to keep … | 10/30/2020

Agency Update: Marriott International Inc… | 10/30/2020

News: Greater Manchester claims management company fined =C2=A3250,000 for making… | 10/29/2020

Agency Update: Reliance Advisory Limited… | 10/29/2020

Monetary penalties: Reliance Advisory Limited — Reliance Advisory Limited monetary penalt… | 10/29/2020

News: ICO takes enforcement action against Experian after data broking inves… | 10/27/2020

Agency Update: Experian Limited… | 10/27/2020

 
 
 
UK-LSB
 
 
 
 

News: Industry guidance on the Access to Banking Standard published by the L… | 10/30/2020

News: Blog: The power of shared experience and local lockdowns… | 10/29/2020

News: Blog: The power of shared experience and local lockdowns — www.lendin… | 10/29/2020

News: Lending Standards Board and UK Finance publish guidance for LIBOR tran… | 10/28/2020

 
 
 
VA
 
 
 
 

Notice: Web Automated Reference Material System… | 10/30/2020

Notice: Veterans’ Advisory Committee on Rehabilitation, Notice of Meeting… | 10/29/2020

Notice: Research Advisory Committee on Gulf War Veterans’ Illnesses, Notice of… | 10/29/2020

Notice: Privacy Act of 1974: Computer Matching Program… | 10/28/2020

Notice: Agency Information Collection Activity: VA Health Benefits: Applicatio… | 10/28/2020

News: This newsflash provides information on Circular 26-20-33, VALERI Downt… | 10/28/2020

Notice: Advisory Committee on Disability Compensation; Notice of Meeting… | 10/27/2020

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

 

X