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

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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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42 Mortgage Lending docs published in the last 7 days

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149 docs with 7429 extracted obligations from the last 7 days

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

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6910 new docs in pro.compliance.ai within the last 7 days

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Download the Q3 Enforcement eBook now!

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Join us Feb 4th at Comply 2021

-

 
 
CA-OPC
 
 
 
 

Agency Update: Improving Privacy Practices for Legal Apps: A Best Practices Guide… | 09/25/2019

Agency Update: Understanding and Responding to the Privacy and Safety Risks of Stalke… | 09/25/2019

Agency Update: Parenting in the digital age: Sharing personal information on social n… | 09/25/2019

Agency Update: The Privacy Implications of Smart Cities… | 09/25/2019

Agency Update: Raising Public Awareness about Genealogical Privacy across Canada, in … | 09/25/2019

Agency Update: Production and sharing of digital privacy content… | 09/25/2019

Agency Update: Three Short Films: Privacy in the Age of Big Data… | 09/25/2019

Agency Update: A Privacy Code Practice for the Connected Car… | 09/25/2019

Agency Update: Privacy Leakage in Canadian Public Wi-Fi Networks… | 09/25/2019

Agency Update: Professional Standards for Private Sector Cybersecurity Enforcement Ag… | 09/25/2019

 
 
 
CFPB
 
 
 
 

News: Quarterly Consumer Credit Trends: Consumer Bankruptcy, BAPCPA, and the… | 09/25/2019

News: Consumer Financial Protection Bureau Files Suit Against Fair Collectio… | 09/25/2019

News: New report explores trends in consumer bankruptcy… | 09/25/2019

Enforcement Document: FCO Holding, Inc., Fair Collections & Outsourcing, Inc., Fair Collecti… | 09/25/2019

News: CFPB Announces Additions to Executive Team… | 09/25/2019

Enforcement Action: FCO Holding, Inc., Fair Collections & Outsourcing, Inc., Fair Collecti… | 09/25/2019

News: Need to save up for college? Stay motivated with these three tips… | 09/24/2019

 
 
 
CFTC
 
 
 
 

Notice: Agency Information Collection Activities Under OMB Review… | 09/27/2019

Notice: Agency Information Collection Activities Under OMB Review… | 09/27/2019

Final Rule: Position Limits and Position Accountability for Security Futures Produ… | 09/27/2019

Notice: Agency Information Collection Activities Under OMB Review… | 09/26/2019

 
 
 
DOJ
 
 
 
 

Notice: Notice of Lodging of Proposed Consent Decree Under the Comprehensive E… | 09/27/2019

Agency Update: New FOIA Training Dates for Fiscal Year 2020… | 09/26/2019

Agency Update: OPDAT Judicial Benchbooks Inauguration… | 09/24/2019

Notice: Notice of Lodging of Proposed Consent Decree Under the Clean Air Act… | 09/23/2019

 
 
 
DOL
 
 
 
 

Notice: Agency Information Collection Activities; Submission for OMB Review; C… | 09/27/2019

Notice: Agency Information Collection Activities; Submission for OMB Review; C… | 09/27/2019

Notice: Vacancy Posting for a Member of the Administrative Review Board… | 09/26/2019

Notice: Agency Information Collection Activities; Submission for OMB Review; C… | 09/23/2019

Notice: Agency Information Collection Activities; Submission for OMB Review; C… | 09/23/2019

 
 
 
EOP
 
 
 
 

Presidential Document: Modernizing Influenza Vaccines in the United States to Promote Nationa… | 09/24/2019

 
 
 
FDIC
 
 
 
 

News: New Appraisal Threshold for Residential Real Estate Loans… | 09/27/2019

Notice: Notice to All Interested Parties of Intent To Terminate Receiverships… | 09/27/2019

Notice: Agency Information Collection Activities: Proposed Collection Renewal;… | 09/26/2019

News: Listening Sessions on Supervisory Appeals and Dispute Resolution Proce… | 09/24/2019

News: Supplemental Questions and Answers Related to the FDIC Statement of Po… | 09/23/2019

 
 
 
FINCEN
 
 
 
 

News: Prepared Remarks of FinCEN Director Kenneth A. Blanco, delivered at th… | 09/24/2019

 
 
 
FRS
 
 
 
 

News: Law and Macroeconomics: The Global Evolution of Macroprudential Regula… | 09/27/2019

News: Agencies issue final rule to exempt residential real estate transactio… | 09/27/2019

News: Final Rule Real Estate Appraisals for Residential Real Estate Transact… | 09/27/2019

Notice: Agency Information Collection Activities: Announcement of Board Approv… | 09/26/2019

Notice: Change in Bank Control Notices; Acquisitions of Shares of a Bank or Ba… | 09/26/2019

News: Federal Reserve Board issues enforcement action with former employee o… | 09/26/2019

Notice: Proposed Agency Information Collection Activities; Comment Request… | 09/26/2019

News: Government of Union: Achieving Certainty in Cross-Border Finance – Vic… | 09/26/2019

Notice: Change in Bank Control Notices; Acquisitions of Shares of a Bank or Ba… | 09/26/2019

Notice: Agency Information Collection Activities: Announcement of Board Approv… | 09/26/2019

 
 
 
FTC
 
 
 
 
 
 

Notice: Agency Information Collection Activities; Proposed Collection; Comment… | 09/27/2019

Notice: Agency Information Collection Activities; Proposed Collection; Comment… | 09/27/2019

Notice: Agency Information Collection Activities; Submission for OMB Review; C… | 09/27/2019

Agency Update: Prepared Opening Remarks of Commissioner Chopra Before the U.S. House … | 09/26/2019

News: Chmn. Simons and Cmr. Chopra testify before House Committee on Appropr… | 09/25/2019

Enforcement: Match Group, Inc…. | 09/25/2019

Agency Update: SmileDirectClub, LLC v. Battle, et al…. | 09/25/2019

News: Chmn. Simons and Cmr. Chopra testify before House Committee on Appropr… | 09/25/2019

Agency Update: Opening Statement of Commissioner Chopra Before the House Committee on… | 09/25/2019

News: Director Hoffman testifies before Senate Committee on the Judiciary, S… | 09/24/2019

 
 
 
Fannie
 
 
 
 

News: Recap of system enhancements… | 09/26/2019

News: Servicing Reports Transition Document upda… | 09/23/2019

 
 
 
INT-BIS
 
 
 
 

Agency Update: Interest rate spillovers from the United States: expectations, term pr… | 09/27/2019

News: BIS launches green bond fund for central banks… | 09/26/2019

Agency Update: Modelling yields at the lower bound through regime shifts… | 09/24/2019

 
 
 
INT-EBA
 
 
 
 

News: EBA consults on its proposals to create a STS framework for synthetic … | 09/25/2019

News: EBA launches its 2019 EU-wide transparency exercise… | 09/23/2019

 
 
 
INT-FSB
 
 
 
 

News: Government of Union: Achieving Certainty in Cross-Border Finance… | 09/26/2019

 
 
 
INT-IOSCO
 
 
 
 

Media Release: IOSCO reviews member efforts to deter mis-selling of complex financial… | 09/26/2019

Final Rule: FR12/2019 Thematic Review on Suitability Requirements with respect to … | 09/26/2019

 
 
 
INT-TWG
 
 
 
 

Guidance: Wolfsberg Group Guidance on Customer Tax Evasion 2019… | 09/26/2019

 
 
 
OCC
 
 
 
 

Notice: Information Collection Activities: Information Collection Renewal; Sub… | 09/24/2019

 
 
 
OFAC
 
 
 
 

Notice: Notice of OFAC Sanctions Actions… | 09/27/2019

Notice: Notice of OFAC Sanctions Action… | 09/26/2019

 
 
 
SEC
 
 
 
 
 
 

Notice: Core Alternative Capital, LLC, Listed Funds Trust, and Quasar Distribu… | 09/27/2019

Enforcement: BMO Harris Financial Advisors, Inc. and BMO Asset Management Corp…. | 09/27/2019

News: Herbalife to Pay $20 Million for Misleading Investors… | 09/27/2019

Enforcement: iQuantifi, Inc. and Thomas F. White… | 09/27/2019

Enforcement: SEC Complaint – Hologram USA Networks Inc. and Alkiviades (“Alki”) Dav… | 09/27/2019

Enforcement: Three Bridge Wealth Advisors, LLC… | 09/27/2019

Enforcement: SEC Complaint – Mylan N.V…. | 09/27/2019

Notice: Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of … | 09/27/2019

Notice: Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Order Institut… | 09/27/2019

Enforcement: FCA US LLC and Fiat Chrysler Automobiles N.V…. | 09/27/2019

 
 
 
TREAS
 
 
 
 
 
 

Notice: Agency Information Collection Activities; Submission for OMB Review; C… | 09/26/2019

Notice: Agency Information Collection Activities; Submission for OMB Review; C… | 09/26/2019

News: U.S. Department of the Treasury… | 09/26/2019

Proposed Rule: Provisions Pertaining to Certain Transactions by Foreign Persons Invol… | 09/24/2019

Notice: Office of the General Counsel; Appointment of Members of the Legal Div… | 09/24/2019

News: U.S. Department of the Treasury… | 09/24/2019

Proposed Rule: Provisions Pertaining to Certain Investments in the United States by F… | 09/24/2019

Final Rule: Amendment to Statement Processing and Automated Clearinghouse (ACH); C… | 09/23/2019

News: U.S. Department of the Treasury… | 09/23/2019

News: U.S. Department of the Treasury… | 09/23/2019

 
 
 
UK-BOE
 
 
 
 
 
 

Agency Update: The BoC-BoE sovereign default database: what=E2=80=99s new in 2019?… | 09/27/2019

Agency Update: In the face of spillovers: prudential policies in emerging economies… | 09/27/2019

Agency Update: Liquidity transformation, collateral assets and counterparties… | 09/27/2019

News: Minutes of the RTGS renewal programme external advisory body – Septemb… | 09/27/2019

News: Bank of England sector resilience exercise… | 09/27/2019

Agency Update: Sector Simulation Exercise: SIMEX 2018 Report… | 09/27/2019

News: Minutes of the Meeting of the Court of Directors held on 4 July 2019… | 09/27/2019

News: Shifting balance of risks – speech by Michael Saunders… | 09/27/2019

Working Paper: In the face of spillovers: prudential policies in emerging economies… | 09/27/2019

Working Paper: Liquidity transformation, collateral assets and counterparties — Sign… | 09/27/2019

 
 
 
UK-FCA
 
 
 
 

News: BNP Paribas (clone of authorised firm)… | 09/27/2019

News: Profinance Associates Ltd… | 09/27/2019

News: N M Rothschild & Sons (clone of authorised firm)… | 09/27/2019

News: Stress testing for human beings… | 09/27/2019

News: Further details of Independent Investigation of Connaught Income Fund … | 09/27/2019

News: FCA urges consumers to carefully consider what cover they require when… | 09/27/2019

News: Updates to the FCA=E2=80=99s directions under the Temporary Transitional Power… | 09/26/2019

Handbook: Draft Main FCA Transitional Directions… | 09/26/2019

Handbook: Draft Transitional Direction Explanatory Note… | 09/26/2019

News: Information for customers of Thomas Cook Plc =E2=80=93 being alert to scams… | 09/26/2019

 
 
 
UK-HMT
 
 
 
 
 
 

News Story: Chancellor announces support for post-Brexit future… | 09/28/2019

Guidance: Breathing Space Scheme – Money and Pensions Service Advice… | 09/26/2019

Official Statistics: OSCAR – publishing data from the database: September 2019… | 09/24/2019

Accessible Documents Policy: Accessible documents policy… | 09/23/2019

Correspondence: Thomas Cook liquidation… | 09/23/2019

 
 
 
UK-ICO
 
 
 
 

News: International Day for the Universal Access to Information 2019… | 09/28/2019

 
 
 
UK-PRA
 
 
 
 
 
 

Policy statement: Strengthening individual accountability: Resolution assessments and re… | 09/27/2019

Consultation paper: Solvency II: Income producing real estate loans and internal credit as… | 09/27/2019

Policy statement: Solvency II: Equity release mortgages – Part 2 – PS19/19 ‘Solvency II:… | 09/27/2019

Consultation paper: Solvency II: Income producing real estate loans and internal credit as… | 09/27/2019

Policy statement: Strengthening individual accountability: Resolution assessments and re… | 09/27/2019

Policy statement: Strengthening individual accountability: Resolution assessments and re… | 09/27/2019

Policy statement: Strengthening individual accountability: Resolution assessments and re… | 09/27/2019

Policy statement: Solvency II: Equity release mortgages – Part 2… | 09/27/2019

Prudential Regulation: PRA Rulebook: CRR Firms: Non CRR Firms: Solvency II Firms: Non Solvenc… | 09/25/2019

Policy statement: Liquidity risk management for insurers… | 09/24/2019

 
 
 
VA
 
 
 
 

Notice: Prosthetics and Special-Disabilities Programs, Notice of Meeting… | 09/27/2019

Circular: Circular 26-19-24 – Change 2 – Servicer Loss Mitigation Letters on Del… | 09/25/2019

Notice: Agency Information Collection Activity Under OMB Review: Veterans Heal… | 09/24/2019

Notice: Solicitation of Nominations for Appointment to the Geriatrics and Gero… | 09/24/2019

Notice: National Research Advisory Council, Notice of Meeting… | 09/24/2019

 

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