Regulatory Agency Updates | Week of Sep 14 to Sep 21

Enforcement Report Sept 14 -21 feat image

 
 
CA-BOC
 
 
 
 

Agency Update: Liquidity Usage and Payment Delay Estimates of the New Canadian High V... | 09/10/2020

 
 
 
CA-CANLII
 
 
 
 

Agency Update: Wild Animal and Plant Trade Regulations, SOR/96-263 [Modified on Aug 2... | 09/10/2020

Agency Update: Order Acknowledging Receipt of the Assessments Done Pursuant to Subsec... | 09/10/2020

Agency Update: Members of Parliament Retiring Allowances Regulations, CRC, c 1033 [Mo... | 09/10/2020

Agency Update: Recovery of Overpayments Made to or in Respect of Former Members of Pa... | 09/10/2020

Agency Update: Locomotive Voice and Video Recorder Regulations, SOR/2020-178 [Modifie... | 09/10/2020

Agency Update: Fishing and Recreational Harbours Regulations, SOR/78-767 [Modified on... | 09/10/2020

 
 
 
CA-OPC
 
 
 
 

News: Op-ed: The value of data, the values of privacy... | 09/08/2020

 
 
 
CFPB
 
 
 
 

Comment: Qualified Mortgage Definition under the Truth in Lending Act (Regulati... | 09/11/2020

Comment: Higher-Priced Mortgage Loan Escrow Exemption (Regulation Z); Public Su... | 09/11/2020

Notice: Supervisory Highlights, Issue 22 (Summer 2020)... | 09/10/2020

Comment: Qualified Mortgage Definition under the Truth in Lending Act (Regulati... | 09/09/2020

Comment: Qualified Mortgage Definition under the Truth in Lending Act (Regulati... | 09/09/2020

Comment: Qualified Mortgage Definition under the Truth in Lending Act (Regulati... | 09/09/2020

Comment: Qualified Mortgage Definition under the Truth in Lending Act (Regulati... | 09/09/2020

Comment: Qualified Mortgage Definition under the Truth in Lending Act (Regulati... | 09/09/2020

Comment: Qualified Mortgage Definition under the Truth in Lending Act (Regulati... | 09/09/2020

Comment: Qualified Mortgage Definition under the Truth in Lending Act (Regulati... | 09/09/2020

 
 
 
CFTC
 
 
 
 

Final Rule: Cross-Border Application of the Registration Thresholds and Certain Re... | 09/14/2020

Agency Update: 20-26... | 09/11/2020

Notice: Agricultural Advisory Committee... | 09/08/2020

 
 
 
DOJ
 
 
 
 

Notice: Notice of Proposed Administrative Settlement Agreement and Order on Co... | 09/11/2020

Notice: Notice of Lodging of Proposed Consent Decree Under the Clean Air Act... | 09/08/2020

Agency Update: Smithsonian=E2=80=99s David Hunt Honored for Help Finding Missing Children... | 09/08/2020

 
 
 
EOP
 
 
 
 

Presidential Document: Continuation of the Exercise of Certain Authorities Under the Trading ... | 09/14/2020

Presidential Document: Continuation of the National Emergency With Respect to Certain Terrori... | 09/11/2020

Presidential Document: Labor Day, 2020... | 09/11/2020

Presidential Document: Continuation of the National Emergency With Respect to Foreign Interfe... | 09/11/2020

Presidential Document: Cybersecurity Principles for Space Systems... | 09/10/2020

Presidential Document: Providing an Order of Succession Within the General Services Administr... | 09/08/2020

 
 
 
FDIC
 
 
 
 

Notice: Sunshine Act Meeting... | 09/11/2020

Notice: Notice of Termination of Receiverships... | 09/09/2020

 
 
 
FINRA
 
 
 
 
 
 

AWCs (Letters of Acceptance, Waiver, and Consent): Lauren L. Wing AWCs (Letters of Acceptance, Waiver, and Consent)... | 09/10/2020

News: FINRA Foundation Explores Risky Financial Behaviors by Senior Investor... | 09/10/2020

AWCs (Letters of Acceptance, Waiver, and Consent): ViewTrade Securities, Incorporated AWCs (Letters of Acceptance, Waiver... | 09/10/2020

AWCs (Letters of Acceptance, Waiver, and Consent): INTL FCStone Financial Inc. AWCs (Letters of Acceptance, Waiver, and C... | 09/10/2020

AWCs (Letters of Acceptance, Waiver, and Consent): Lori Ann Sacco AWCs (Letters of Acceptance, Waiver, and Consent)... | 09/09/2020

Notice: Self-Regulatory Organizations; Financial Industry Regulatory Authority... | 09/09/2020

AWCs (Letters of Acceptance, Waiver, and Consent): Patrick J. Knox AWCs (Letters of Acceptance, Waiver, and Consent)... | 09/09/2020

AWCs (Letters of Acceptance, Waiver, and Consent): Jodie Lane AWCs (Letters of Acceptance, Waiver, and Consent)... | 09/09/2020

AWCs (Letters of Acceptance, Waiver, and Consent): David Christopher Davis AWCs (Letters of Acceptance, Waiver, and Conse... | 09/09/2020

AWCs (Letters of Acceptance, Waiver, and Consent): Harry Seth Datys AWCs (Letters of Acceptance, Waiver, and Consent)... | 09/08/2020

 
 
 
FRS
 
 
 
 

Notice: Change in Bank Control Notices; Acquisitions of Shares of a Bank or Ba... | 09/14/2020

Notice: Agency Information Collection Activities: Announcement of Board Approv... | 09/14/2020

Notice: Change in Bank Control Notices; Acquisitions of Shares of a Bank or Ba... | 09/11/2020

Notice: Formations of, Acquisitions by, and Mergers of Bank Holding Companies... | 09/11/2020

Press Release: Federal Reserve Board announces termination of enforcement action with... | 09/08/2020

 
 
 
FTC
 
 
 
 
 
 

News: FTC Approves Final Order Requiring Animal Health Product Suppliers Ela... | 09/11/2020

Enforcement Order: Decision and Order (266.99 KB) Elanco Animal Health and Bayer (Adminis... | 09/11/2020

Complaint: Complaint Elanco Animal Health and Bayer (Administrative)... | 09/11/2020

News: Federal Trade Commission and U.S. Department of Justice Antitrust Divi... | 09/11/2020

News: Cmr. Chopra meets with the Coin Laundry Association... | 09/10/2020

Notice: Public Workshop Examining Franchise Rule... | 09/10/2020

Blog: FTC releases agenda for Data To Go virtual workshop... | 09/10/2020

News: FTC Releases Agenda for September Workshop on Data Portability... | 09/10/2020

News: Operators of Student Debt Relief Scheme Agree to Pay at Least $835,000... | 09/09/2020

News: Cmr. Phillips fireside chat at the Antitrust in the Financial Sector, ... | 09/09/2020

 
 
 
INT-BIS
 
 
 
 

News: Basel Committee and Canada reimagine the 2020 International Conference... | 09/11/2020

 
 
 
INT-EBA
 
 
 
 

News: EBA calls on the EU Commission to establish a single rulebook on fight... | 09/10/2020

News: EBA issues revised list of ITS validation rules... | 09/10/2020

 
 
 
INT-EC
 
 
 
 

News: Fighting child sexual abuse: Commission proposes interim legislation t... | 09/10/2020

News: Fighting child sexual abuse: Commission proposes interim legislation t... | 09/10/2020

 
 
 
INT-FATF
 
 
 
 

Publication: Virtual Assets Red Flag Indicators of Money Laundering and Terrorist F... | 09/14/2020

 
 
 
INT-FSB
 
 
 
 

News: Virtual workshop on the evaluation of too-big-to-fail reforms... | 09/09/2020

Agency Update: Regulatory framework for haircuts on non-centrally cleared securities ... | 09/07/2020

Agency Update: Regulatory framework for haircuts on non-centrally cleared securities ... | 09/07/2020

News: FSB extends implementation timelines for securities financing transact... | 09/07/2020

Agency Update: Regulatory framework for haircuts on non-centrally cleared securities ... | 09/07/2020

Agency Update: Regulatory framework for haircuts on non-centrally cleared securities ... | 09/07/2020

 
 
 
NCUA
 
 
 
 

Final Rule: Chartering and Field of Membership... | 09/14/2020

 
 
 
NYSE
 
 
 
 

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

Notice: Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of ... | 09/08/2020

 
 
 
OCC
 
 
 
 
 
 

Comment: National Banks and Federal Savings Associations as Lenders; Public Sub... | 09/11/2020

Comment: National Banks and Federal Savings Associations as Lenders; Public Sub... | 09/11/2020

Comment: National Banks and Federal Savings Associations as Lenders; Public Sub... | 09/11/2020

Comment: National Banks and Federal Savings Associations as Lenders; Public Sub... | 09/11/2020

Comment: National Banks and Federal Savings Associations as Lenders; Public Sub... | 09/11/2020

Comment: National Banks and Federal Savings Associations as Lenders; Public Sub... | 09/11/2020

Comment: National Banks and Federal Savings Associations as Lenders; Public Sub... | 09/11/2020

Comment: National Banks and Federal Savings Associations as Lenders; Public Sub... | 09/11/2020

Comment: National Banks and Federal Savings Associations as Lenders; Public Sub... | 09/11/2020

Comment: National Banks and Federal Savings Associations as Lenders; Public Sub... | 09/11/2020

 
 
 
OFAC
 
 
 
 

Notice: Notice of OFAC Sanctions Actions... | 09/11/2020

Notice: Notice of OFAC Sanctions Actions... | 09/10/2020

 
 
 
SEC
 
 
 
 
 
 

Notice: Self-Regulatory Organizations; MEMX LLC; Notice of Filing and Immediat... | 09/14/2020

Notice: Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Notice of Fili... | 09/14/2020

Notice: Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and I... | 09/14/2020

Notice: Self-Regulatory Organizations; Cboe EDGA Exchange, Inc.; Notice of Fil... | 09/14/2020

Notice: Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Fili... | 09/14/2020

Notice: Self-Regulatory Organizations; Miami International Securities Exchange... | 09/14/2020

Notice: Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of ... | 09/14/2020

Notice: Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and I... | 09/14/2020

Notice: [Release No. 34-89788; File No. 4-678] HEADProgram for Allocation of R... | 09/14/2020

Notice: Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing a... | 09/14/2020

 
 
 
TREAS
 
 
 
 

News: U.S. Department of the Treasury... | 09/12/2020

News: U.S. Department of the Treasury... | 09/10/2020

News: U.S. Department of the Treasury... | 09/10/2020

News: U.S. Department of the Treasury... | 09/08/2020

 
 
 
UK-BOE
 
 
 
 
 
 

News: Andrew Bailey: Guest speaker at the North East England Chamber of Comm... | 09/11/2020

News: Sam Woods: Panellist at the City Week 10th Annual International Financ... | 09/11/2020

News: Andrew Hauser: Webinar =E2=80=9CIs your business prepared for LIBOR?=E2=80=9D (09:00)... | 09/11/2020

News: Sarah Breeden: Confederation of British Industry Conference Series: Ac... | 09/11/2020

News: Jo Place: Interview with Bloomberg=E2=80=99s Executive Editor of Global Busine... | 09/11/2020

News: Andrew Bailey: British Chambers of Commerce webinar (08:30)... | 09/11/2020

Agency Update: Bank of England/Kantar Inflation Attitudes Survey - August 2020... | 09/11/2020

Minutes: Minutes of the London FXJSC Operations Sub-Committee Meeting =C3=A2=E2=82=AC" 13 Ma... | 09/11/2020

Minutes: Minutes of the London FXJSC Operations Sub-Committee Meeting =C3=A2=E2=82=AC" 13 Ma... | 09/11/2020

Minutes: Minutes of the London FXJSC Meeting - 9 June 2020... | 09/11/2020

 
 
 
UK-FCA
 
 
 
 

News: Search The Best Rates... | 09/11/2020

News: INTRO-INVEST LTD trading as Bond Compare... | 09/11/2020

News: Direct Loan UK (Clone of an FCA authorised firm)... | 09/11/2020

News: Insight Investment (Clone of FCA authorised firms)... | 09/11/2020

News: GCG International/Sage Global... | 09/10/2020

News: FCA publishes Annual Report and Accounts 2019/20... | 09/10/2020

News: Growing Power Loans Ltd (Clone of FCA authorised firm)... | 09/10/2020

News: FCA publicly censures former Worldspreads CEO for market misconduct... | 09/09/2020

News: Onomar Ltd t/a Compare Income... | 09/09/2020

News: fscsbonds.com... | 09/09/2020

 
 
 
UK-ICO
 
 
 
 
 
 

News: Accountability Framework: demonstrating your compliance... | 09/10/2020

News: ICO fines company =C2=A3130,000 for unauthorised pensions cold calls... | 09/10/2020

Monetary penalties: CPS Advisory Limited -- CPS Advisory Ltd monetary penalty notice... | 09/10/2020

Agency Update: CPS Advisory Limited... | 09/10/2020

News: Yr ICO yn dirwyo cwmni =C2=A3130,000 am alwadau diawdurdod ynghylch pensiyn... | 09/09/2020

News: Ten top tips for innovators... | 09/08/2020

Decision Notice: Highways England Company Limited... | 09/07/2020

Decision Notice: Sussex Police... | 09/07/2020

Decision Notice: London Borough of Hammersmith and Fulham... | 09/07/2020

Decision Notice: South Holland District Council... | 09/07/2020

 
 
 
VA
 
 
 
 

Proposed Rule: Aggravation Definition... | 09/11/2020

Notice: Agency Information Collection Activity: Lay/Witness Statement... | 09/11/2020

Circular: Circular 26-20-12 Change 1 - Extended Relief Under the CARES Act for t... | 09/09/2020

Notice: Agency Information Collection Activity Under OMB Review: Application a... | 09/09/2020

Notice: Geriatric and Gerontology Advisory Committee; Notice of Meeting... | 09/08/2020

Notice: Agency Information Collection Activity: Accelerated Payment Verificati... | 09/08/2020

Notice: Agency Information Collection Activity: Veteran/Servicemember's Supple... | 09/08/2020

 

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