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

-

OFAC enforcements increased 50% over the past 30 days

-

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

-

123 Final Rules go into effect in the next 30 days

-

45 Mortgage Lending docs published in the last 7 days

-

149 docs with 7429 extracted obligations from the last 7 days

-

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

-

6736 new docs in pro.compliance.ai within the last 7 days

-

Download the Q3 Enforcement eBook now!

-

Join us Feb 4th at Comply 2021

-

 
 
CA-CANLII
 
 
 
 

Agency Update: Critical Habitat of the Northern Wolffish (Anarhichas denticulatus) Or… | 09/24/2020

Agency Update: Critical Habitat of the Spotted Wolffish (Anarhichas minor) Order, SOR… | 09/24/2020

 
 
 
CA-OPC
 
 
 
 

News: Announcement: Commissioner discusses Quebec=E2=80=99s privacy law reform bill… | 09/25/2020

 
 
 
CFPB
 
 
 
 
 
 
 
 

Comment: Qualified Mortgage Definition under the Truth in Lending Act (Regulati… | 09/25/2020

Blog: Preparedness means rebuilding toward a brighter future with emergency … | 09/24/2020

Report: Perceived Financial Preparedness, Saving Habits, and Financial Securit… | 09/24/2020

Proposed Rule: Qualified Mortgage Definition Under the Truth in Lending Act (Regulati… | 09/24/2020

Comment: Debt Collection Practices (Regulation F); Public Submission; Congress… | 09/22/2020

Comment: Higher-Priced Mortgage Loan Escrow Exemption (Regulation Z); Public Su… | 09/22/2020

Comment: Qualified Mortgage Definition under the Truth in Lending Act (Regulati… | 09/22/2020

Comment: Higher-Priced Mortgage Loan Escrow Exemption (Regulation Z); Public Su… | 09/22/2020

Comment: Higher-Priced Mortgage Loan Escrow Exemption (Regulation Z); Public Su… | 09/22/2020

Comment: Making Ends Meet Survey; Public Submission; Bruce Grimm… | 09/21/2020

 
 
 
CFTC
 
 
 
 
 
 

Final Rule: Prohibitions and Restrictions on Proprietary Trading and Certain Inter… | 09/25/2020

Enforcement: Complaint: TMTE, INC, et al… | 09/25/2020

Enforcement: Order: TMTE, INC, et al… | 09/25/2020

News: CFTC and 30 States Charge Los Angeles Precious Metals Dealers in Ongoi… | 09/25/2020

Agency Update: 20-30… | 09/25/2020

Notice: Agency Information Collection Activities Under OMB Review… | 09/25/2020

Notice: Agency Information Collection Activities Under OMB Review… | 09/24/2020

Notice: Sunshine Act Meetings… | 09/24/2020

Enforcement: Order: OTC Europe LLP… | 09/24/2020

Enforcement: Order: Marex Spectron International, LTD… | 09/24/2020

 
 
 
DOJ
 
 
 
 

Notice: Agency Information Collection Activities; Proposed eCollection eCommen… | 09/25/2020

Notice: Agency Information Collection Activities; Proposed eCollection eCommen… | 09/25/2020

Notice: Notice of Lodging of Proposed Consent Decree under the Resource Conser… | 09/25/2020

Notice: Agency Information Collection Activities; Proposed eCollection eCommen… | 09/25/2020

Agency Update: New Guidelines Issued for 2021 Agency Chief FOIA Officer Reports… | 09/24/2020

Notice: Notice of Lodging of Proposed Consent Decree Under the Comprehensive E… | 09/24/2020

Agency Update: New York Post Op-Ed: Sorry: This criminal-justice =E2=80=98reform=E2=80=99 would be di… | 09/24/2020

Agency Update: Summary and Assessment of Agency 2020 CFO Reports Issued… | 09/24/2020

Notice: Notice of Lodging of Proposed Consent Decree Under the Comprehensive E… | 09/22/2020

Notice: Notice Lodging of Proposed Consent Decree Under the Comprehensive Envi… | 09/22/2020

 
 
 
DOL
 
 
 
 

Notice: Agency Information Collection Activities; Submission for OMB Review; C… | 09/28/2020

Notice: Privacy Act of 1974; System of Records… | 09/28/2020

Notice: Agency Information Collection Activities; Submission for OMB Review; C… | 09/28/2020

Notice: Agency Information Collection Activities; Submission for OMB Review; C… | 09/23/2020

Notice: Agency Information Collection Activities; Submission for OMB Review; C… | 09/23/2020

Notice: Agency Information Collection Activities; Submission for OMB Review; C… | 09/23/2020

Notice: Senior Executive Service; Appointment of Members to the Performance Re… | 09/23/2020

Notice: Agency Information Collection Activities; Submission for OMB Review; C… | 09/21/2020

Notice: Agency Information Collection Activities; Submission for OMB Review; C… | 09/21/2020

Notice: Agency Information Collection Activities; Submission for OMB Review; C… | 09/21/2020

 
 
 
EBSA
 
 
 
 

Notice: 202nd Meeting of the Advisory Council on Employee Welfare and Pension … | 09/28/2020

Notice: Advisory Council on Employee Welfare and Pension Benefit Plans; Nomina… | 09/22/2020

 
 
 
EOP
 
 
 
 

Presidential Document: Delegation of Certain Functions and Authorities Under the Global Fragi… | 09/25/2020

Presidential Document: National Gang Violence Prevention Week, 2020… | 09/25/2020

Presidential Document: National Small Business Week, 2020… | 09/25/2020

Presidential Document: National Farm Safety and Health Week, 2020… | 09/25/2020

Presidential Document: Delegation of Authority To Submit to the Congress the Notifications an… | 09/25/2020

Presidential Document: Presidential Determination on Major Drug Transit or Major Illicit Drug… | 09/25/2020

Presidential Document: Death of Ruth Bader Ginsburg… | 09/25/2020

Presidential Document: Constitution Day, Citizenship Day, and Constitution Week, 2020… | 09/24/2020

Presidential Document: National POW/MIA Recognition Day, 2020… | 09/24/2020

Presidential Document: Prescription Opioid and Heroin Epidemic Awareness Week, 2020… | 09/23/2020

 
 
 
FDIC
 
 
 
 
 
 

Proposed Rule: Removal of Transferred OTS Regulations Regarding Prompt Corrective Act… | 09/28/2020

Proposed Rule: Statement of Policy Regarding Minority Depository Institutions… | 09/25/2020

Final Rule: Prohibitions and Restrictions on Proprietary Trading and Certain Inter… | 09/25/2020

Proposed Rule: Transferred OTS Regulations Regarding Nondiscrimination Requirements… | 09/25/2020

Notice: Agency Information Collection Activities: Submission for OMB Review; C… | 09/25/2020

Press Release: FDIC Makes Public August Enforcement Actions… | 09/25/2020

Press Release: FDIC Systemic Resolution Advisory Committee to Discuss the FDIC’s Prog… | 09/24/2020

Financial Institution Letter: FIL-92-2020 – Regulatory Relief: Guidance to Help Financial Institutio… | 09/23/2020

Notice: Agency Information Collection Activities: Proposed Collection Renewal;… | 09/23/2020

Notice: Federal Deposit Insurance Corporation Restoration Plan… | 09/21/2020

 
 
 
FINRA
 
 
 
 
 
 

AWCs (Letters of Acceptance, Waiver, and Consent): Alec C. Franks AWCs (Letters of Acceptance, Waiver, and Consent)… | 09/25/2020

AWCs (Letters of Acceptance, Waiver, and Consent): Joshua K. Staudinger AWCs (Letters of Acceptance, Waiver, and Consent)… | 09/25/2020

AWCs (Letters of Acceptance, Waiver, and Consent): John Dewey Church AWCs (Letters of Acceptance, Waiver, and Consent)… | 09/24/2020

AWCs (Letters of Acceptance, Waiver, and Consent): Nina Maines AWCs (Letters of Acceptance, Waiver, and Consent)… | 09/23/2020

AWCs (Letters of Acceptance, Waiver, and Consent): Shawna J. Loveland AWCs (Letters of Acceptance, Waiver, and Consent)… | 09/23/2020

AWCs (Letters of Acceptance, Waiver, and Consent): Jay Howard Bluestine AWCs (Letters of Acceptance, Waiver, and Consent)… | 09/23/2020

AWCs (Letters of Acceptance, Waiver, and Consent): Capital City Securities, LLC AWCs (Letters of Acceptance, Waiver, and … | 09/23/2020

AWCs (Letters of Acceptance, Waiver, and Consent): Deborah Leah Beal AWCs (Letters of Acceptance, Waiver, and Consent)… | 09/22/2020

Notices: Regulatory Notice 20-33 FINRA Requests Comment on a Proposed New Exped… | 09/22/2020

AWCs (Letters of Acceptance, Waiver, and Consent): Christ Elias Baltas AWCs (Letters of Acceptance, Waiver, and Consent)… | 09/22/2020

 
 
 
FRS
 
 
 
 
 
 

Notice: Change in Bank Control Notices; Acquisitions of Shares of a Bank or Ba… | 09/28/2020

Notice: Formations of, Acquisitions by, and Mergers of Bank Holding Companies… | 09/28/2020

Final Rule: Prohibitions and Restrictions on Proprietary Trading and Certain Inter… | 09/25/2020

Press Release: Federal Reserve Board amends implementation date of modifications to R… | 09/25/2020

Press Release: Federal Register notice: Modifications to the Federal Reserve Banks’ N… | 09/25/2020

Notice: Formations of, Acquisitions by, and Mergers of Bank Holding Companies… | 09/25/2020

Speech: Optimism in the Time of COVID – Vice Chair for Supervision Randal K. Q… | 09/23/2020

Notice: Change in Bank Control Notices; Acquisitions of Shares of a Bank or Ba… | 09/22/2020

News: Coronavirus Aid, Relief, and Economic Security Act – Chair Jerome H. P… | 09/22/2020

Press Release: Statement by Chair Jerome H. Powell – Federal Reserve Board issues Adv… | 09/21/2020

 
 
 
FTC
 
 
 
 
 
 
 
 

Consumer Alert: Direct Alternatives Refunds Products: AF Plus and Final Trim… | 09/25/2020

News: Company Charged With Posing as SBA Lender Settles FTC Charges and Ceas… | 09/25/2020

Consumer Alert: StimTein Refunds… | 09/25/2020

Consumer Alert: LeanSpa Refunds… | 09/25/2020

Enforcement Order: Stipulated Final Order for Permanent Injunction (5.29 MB) Ponte Invest… | 09/25/2020

Consumer Alert: Bob Robinson Refunds Products: Work At Home EDU, Work At Home Program,… | 09/25/2020

Consumer Alert: Western Union Refunds… | 09/25/2020

News: FTC Requests Rehearing En Banc of Qualcomm Appeals Panel Decision… | 09/25/2020

News: FTC Adds New Charges, Additional Defendants in Case Against Alleged Py… | 09/24/2020

News: FTC Refunds More Than $76,000 to Consumers Who Bought Deceptively Mark… | 09/24/2020

 
 
 
Freddie
 
 
 
 

Bulletin: Bulletin 2020-37 Updates to Market Condition Credit Fee in Price and C… | 09/24/2020

 
 
 
INT-BIS
 
 
 
 

News: Basel Committee approves annual G-SIBs assessment, updates workplan t… | 09/25/2020

News: Basel Committee approves annual G-SIBs assessment, updates workplan t… | 09/25/2020

 
 
 
INT-EBA
 
 
 
 

News: EBA launches EU-wide transparency exercise… | 09/25/2020

News: EU financial regulators assess risks to the financial sector after the… | 09/22/2020

News: EBA phases out its Guidelines on legislative and non-legislative loan … | 09/21/2020

 
 
 
INT-EC
 
 
 
 

News: Digital Finance Package: Commission sets out new, ambitious approach t… | 09/24/2020

News: Questions and Answers: Digital Finance Strategy, legislative proposals… | 09/24/2020

News: Questions and Answers on the Capital Markets Union Action Plan… | 09/24/2020

News: Capital Markets Union: Commission to boost Europe’s capital markets… | 09/24/2020

 
 
 
INT-FATF
 
 
 
 

Publication: FATF statement following unauthorised disclosure of confidential FinCE… | 09/23/2020

 
 
 
INT-FSB
 
 
 
 

News: LEI ROC to become governance body for OTC derivatives identifiers… | 09/25/2020

News: FSB holds virtual roundtable on external audit… | 09/25/2020

 
 
 
INT-IOSCO
 
 
 
 

Final Rule: FR08/2020 Conflicts of interest and associated conduct risks during th… | 09/21/2020

Media Release: IOSCO issues measures to reduce conflict of interests in debt capital … | 09/21/2020

 
 
 
NYSE
 
 
 
 

Notice: Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of … | 09/28/2020

Notice: Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of … | 09/24/2020

Notice: Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of … | 09/21/2020

 
 
 
OCC
 
 
 
 
 
 

Comment: National Banks and Federal Savings Associations as Lenders; Public Sub… | 09/25/2020

Comment: National Banks and Federal Savings Associations as Lenders; Public Sub… | 09/25/2020

Comment: National Banks and Federal Savings Associations as Lenders; Public Sub… | 09/25/2020

Comment: National Banks and Federal Savings Associations as Lenders; Public Sub… | 09/25/2020

Comment: National Banks and Federal Savings Associations as Lenders; Public Sub… | 09/25/2020

Comment: National Banks and Federal Savings Associations as Lenders; Public Sub… | 09/25/2020

Comment: National Banks and Federal Savings Associations as Lenders; Public Sub… | 09/25/2020

Comment: National Banks and Federal Savings Associations as Lenders; Public Sub… | 09/25/2020

Comment: National Banks and Federal Savings Associations as Lenders; Public Sub… | 09/25/2020

Comment: National Banks and Federal Savings Associations as Lenders; Public Sub… | 09/25/2020

 
 
 
OFAC
 
 
 
 

Notice: Notice of OFAC Sanctions Actions… | 09/28/2020

Notice: Notice of OFAC Sanctions Actions… | 09/25/2020

Notice: Notice of OFAC Sanctions Action… | 09/25/2020

Notice: Notice of OFAC Sanctions Actions… | 09/25/2020

Notice: Notice of OFAC Sanctions Actions… | 09/25/2020

Notice: Notice of OFAC Sanctions Actions… | 09/24/2020

Final Rule: Cuban Assets Control Regulations… | 09/24/2020

Notice: Notice of OFAC Sanctions Actions… | 09/22/2020

Notice: Notice of OFAC Sanctions Actions… | 09/22/2020

Notice: Notice of OFAC Sanctions Actions… | 09/21/2020

 
 
 
RHS
 
 
 
 

Proposed Rule: Rental Assistance and Asset Management for the Multi-Family Housing Di… | 09/23/2020

Final Rule: Strategic Economic and Community Development… | 09/22/2020

 
 
 
SEC
 
 
 
 
 
 
 
 

Notice: Sunshine Act Meetings… | 09/28/2020

Notice: Self-Regulatory Organizations; National Securities Clearing Corporatio… | 09/28/2020

Notice: Self-Regulatory Organizations; ICE Clear Credit LLC; Order Approving P… | 09/28/2020

Notice: Self-Regulatory Organizations; The Depository Trust Company; Notice of… | 09/28/2020

Notice: Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of … | 09/28/2020

Press Release: SEC Charges Companies, Former Executives as Part of Risk-Based Initiat… | 09/28/2020

Final Rule: Prohibitions and Restrictions on Proprietary Trading and Certain Inter… | 09/25/2020

Notice: Submission for OMB Review; Comment Request… | 09/25/2020

Enforcement: Funding the Gap, LLC and Irene P. Carroll… | 09/25/2020

Enforcement: Leonardo Cornide and Jorge Falcon… | 09/25/2020

 
 
 
TREAS
 
 
 
 

Notice: Agency Information Collection Activities; Submission for OMB Review; C… | 09/28/2020

News: U.S. Department of the Treasury… | 09/25/2020

News: U.S. Department of the Treasury… | 09/25/2020

News: U.S. Department of the Treasury… | 09/24/2020

News: U.S. Department of the Treasury… | 09/23/2020

News: U.S. Department of the Treasury… | 09/23/2020

News: U.S. Department of the Treasury… | 09/23/2020

News: U.S. Department of the Treasury… | 09/23/2020

News: U.S. Department of the Treasury… | 09/22/2020

News: U.S. Department of the Treasury… | 09/22/2020

 
 
 
UK-BOE
 
 
 
 
 
 

Agency Update: Bank of England statement on European Securities and Markets Authority… | 09/28/2020

News: Andy Haldane: Organisation for Economic Co-operation and Development (… | 09/25/2020

News: Andy Haldane: Agent Based Modelling for Policy Seminar – opening keyno… | 09/25/2020

News: James Talbot: Panellist at Ethical Finance 2020 (11:30)… | 09/25/2020

News: 1st Joint Bank of England – Banque de France =E2=80=93 IMF =E2=80=93 OECD Workshop on … | 09/25/2020

Agency Update: The impact of Covid-19 on businesses=E2=80=99 expectations: evidence from the … | 09/25/2020

Quarterly Bulletin: Quarterly Bulletin – 2020 Q3… | 09/25/2020

Quarterly Bulletin: The impact of Covid-19 on businesses’ expectations: evidence from the … | 09/25/2020

Quarterly Bulletin: Quarterly Bulletin – 2020 Q3 — The impact of Covid-19 on businesses=C3=A2=E2=82=AC… | 09/25/2020

Quarterly Bulletin: The impact of Covid-19 on businesses’ expectations: evidence from the … | 09/25/2020

 
 
 
UK-FCA
 
 
 
 

News: Invest Bonds UK… | 09/28/2020

News: Compare Property Bonds UK… | 09/28/2020

News: Industry to begin testing the Financial Instruments Transparency Syste… | 09/28/2020

News: UK Fixed Bonds Community… | 09/25/2020

News: Eisler Capital (Clone of FCA authorised firm)… | 09/25/2020

News: ISA Advisor… | 09/25/2020

News: Fuller-Grant International Consultancy LLC… | 09/25/2020

News: Property Income Investor… | 09/25/2020

News: FCA institutes criminal proceedings against three former employees of … | 09/24/2020

News: FCA update following the recent coronavirus restrictions statements on… | 09/24/2020

 
 
 
UK-HMT
 
 
 
 
 
 
 
 

Transparency: Government procurement card HMT spend greater than =C2=A3500: July 2020… | 09/28/2020

Transparency: HMT spend greater than =C2=A325,000: August 2020… | 09/28/2020

News Story: Winter Economy Plan to support Scottish firms and workers… | 09/25/2020

Correspondence: Treatment of government grant support schemes in business interruption… | 09/25/2020

Transparency: OSCAR – publishing data from the database: September 2020… | 09/25/2020

Policy Paper: Winter Economy Plan… | 09/24/2020

Speech: Chancellor of the Exchequer, Rishi Sunak on the Winter Economy Plan… | 09/24/2020

Policy Paper: Self-Employment Income Support Scheme (SEISS) Grant Extension… | 09/24/2020

Policy Paper: Job Support Scheme… | 09/24/2020

Html Publication: Winter Economy Plan… | 09/24/2020

 
 
 
UK-ICO
 
 
 
 
 
 

News: Open letter from UK Information Commissioner Elizabeth Denham to UK or… | 09/24/2020

News: ICO fines company flouting the law in order to profiteer from the coro… | 09/24/2020

News: Statement from Information Commissioner Elizabeth Denham on the NHS CO… | 09/24/2020

Monetary penalties: Digital Growth Experts Limited — Digital Growth Experts Limited monet… | 09/24/2020

Agency Update: Digital Growth Experts Limited… | 09/24/2020

Enforcement notices: Digital Growth Experts Limited — Digital Growth Experts Limited enfor… | 09/24/2020

Agency Update: Digital Growth Experts Limited… | 09/24/2020

Decision Notice: Ministry of Defence… | 09/21/2020

 
 
 
UK-PRA
 
 
 
 

Consultation paper: UK withdrawal from the EU: Changes before the end of the transition pe… | 09/22/2020

Consultation paper: UK withdrawal from the EU: Changes before the end of the transition pe… | 09/22/2020

Report: Exercise by the Bank of England and Prudential Regulation Authority of… | 09/22/2020

Consultation paper: UK withdrawal from the EU: Changes before the end of the transition pe… | 09/22/2020

Consultation paper: UK withdrawal from the EU: Changes before the end of the transition pe… | 09/22/2020

Consultation paper: UK withdrawal from the EU: Changes before the end of the transition pe… | 09/22/2020

Consultation paper: UK withdrawal from the EU: Changes before the end of the transition pe… | 09/22/2020

Report: Exercise by the Bank of England and Prudential Regulation Authority of… | 09/22/2020

Consultation paper: UK withdrawal from the EU: Changes before the end of the transition pe… | 09/22/2020

Consultation paper: UK withdrawal from the EU: Changes before the end of the transition pe… | 09/22/2020

 
 
 
VA
 
 
 
 

Notice: Rental and Utility Assistance for Certain Low-Income Veteran Families… | 09/28/2020

Notice: Agency Information Collection Activity Under OMB Review: Generic Clear… | 09/28/2020

Notice: Agency Information Collection Activity Under OMB Review: VR&E Longitud… | 09/25/2020

Notice: Agency Information Collection Activity Under OMB Review: Application f… | 09/25/2020

News: This announcement provides information on the Fiscal Year 2020 End-of-… | 09/24/2020

Final Rule: VA Acquisition Regulation: Contractor Qualifications; Acquisition of U… | 09/24/2020

Notice: Reasonable Charges for Inpatient Medical Severity-Diagnosis Related Gr… | 09/22/2020

Final Rule: Elimination of On-the-Job Training and Apprenticeship Trainee Certific… | 09/21/2020

News: This announcement provides information on the system deployment occurr… | 09/21/2020

 

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