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

-

OFAC enforcements increased 50% over the past 30 days

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SEC issued enforcements: $88,633,075.00 over the past 30 days

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123 Final Rules go into effect in the next 30 days

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45 Mortgage Lending docs published in the last 7 days

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149 docs with 7429 extracted obligations from the last 7 days

-

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

-

6771 new docs in pro.compliance.ai within the last 7 days

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Download the Q3 Enforcement eBook now!

-

Join us Feb 4th at Comply 2021

-

 
 
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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