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

-

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

-

Download the Q3 Enforcement eBook now!

-

Join us Feb 4th at Comply 2021

-

Agency Report Sep 28 - Oct 05

 
 
CA-BOC
 
 
 
 

Agency Update: Interbank Asset-Liability Networks with Fire Sale Management… | 09/28/2020

 
 
 
CFPB
 
 
 
 
 
 

Notice: Agency Information Collection Activities: Submission for OMB Review; C… | 10/05/2020

Comment: Qualified Mortgage Definition under the Truth in Lending Act (Regulati… | 10/02/2020

Comment: Qualified Mortgage Definition under the Truth in Lending Act (Regulati… | 10/02/2020

Comment: Qualified Mortgage Definition under the Truth in Lending Act (Regulati… | 10/02/2020

Comment: Qualified Mortgage Definition under the Truth in Lending Act (Regulati… | 10/02/2020

Comment: Qualified Mortgage Definition under the Truth in Lending Act (Regulati… | 10/02/2020

Notice: Agency Information Collection Activities: Notice of Office of Manageme… | 10/02/2020

Comment: Qualified Mortgage Definition under the Truth in Lending Act (Regulati… | 10/01/2020

Comment: Qualified Mortgage Definition under the Truth in Lending Act (Regulati… | 10/01/2020

Comment: Qualified Mortgage Definition under the Truth in Lending Act (Regulati… | 10/01/2020

 
 
 
CFTC
 
 
 
 

News: Federal Court Orders Pennsylvania Man Pay $7.4 Million in Restitution … | 10/02/2020

Notice: Sunshine Act Meetings… | 10/02/2020

Enforcement: Consent Order: Jon Barry Thompson… | 10/02/2020

News: CFTC Charges BitMEX Owners with Illegally Operating a Cryptocurrency D… | 10/01/2020

Enforcement: Complaint: HDR Global Trading Limited, et al… | 10/01/2020

News: CFTC Orders Morgan Stanley Capital Services LLC to Pay $5 Million for … | 09/30/2020

Enforcement: Order: Brendan Delovitch… | 09/30/2020

Enforcement: Order: Sunoco LP… | 09/30/2020

Enforcement: Order: Morgan Stanley Capital Services LLC… | 09/30/2020

Enforcement: Order: A&A Trading, Inc…. | 09/30/2020

 
 
 
DOJ
 
 
 
 

Notice: Notice of Lodging Proposed Consent Decree… | 10/05/2020

Notice: Notice of Lodging Proposed Partial Consent Decree… | 10/05/2020

Notice: Notice of Lodging of Proposed Consent Decree Under the Comprehensive E… | 10/05/2020

Notice: Notice of Lodging of Proposed Consent Decree Under The Clean Water Act… | 10/05/2020

Notice: Notice of Lodging of Proposed Bankruptcy Settlement Agreement Resolvin… | 10/05/2020

Notice: Notice of Lodging of Proposed Consent Decree Under the Comprehensive E… | 10/05/2020

Notice: Agency Information Collection Activities; Proposed eCollection eCommen… | 10/05/2020

Notice: Agency Information Collection Activities; Proposed eCollection eCommen… | 10/02/2020

Notice: Notice of Lodging of Proposed Consent Decree Under the Comprehensive E… | 10/01/2020

Agency Update: During Domestic Violence Awareness Month, Offer a Resource to Somebody… | 10/01/2020

 
 
 
DOL
 
 
 
 

Notice: Notice of Initial Determination Revising the List of Products Requirin… | 10/02/2020

Notice: Notice of Publication of 2020 Update to the Department of Labor’s List… | 10/02/2020

Notice: Agency Information Collection Activities; Submission for OMB Review; C… | 10/01/2020

Notice: Agency Information Collection Activities; Comment Request; Generic Sol… | 09/30/2020

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

 
 
 
EBSA
 
 
 
 

News: Federal Court Sentences Kentucky Business Owner for Improper Use of Be… | 10/01/2020

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

 
 
 
EOP
 
 
 
 

Presidential Document: Addressing the Threat to the Domestic Supply Chain From Reliance on Cr… | 10/05/2020

Presidential Document: Protecting Vulnerable Newborn and Infant Children… | 10/02/2020

Presidential Document: Authorizing the Alaska to Alberta Railway Development Corporation To C… | 10/02/2020

Presidential Document: An America-First Healthcare Plan… | 10/01/2020

Presidential Document: Gold Star Mother’s and Family’s Day, 2020… | 09/30/2020

Presidential Document: National Hunting and Fishing Day, 2020… | 09/30/2020

Presidential Document: Combating Race and Sex Stereotyping… | 09/28/2020

 
 
 
FDIC
 
 
 
 
 
 

Speech: Announcement of FDIC Chairman Bair – Keynote address to the Johns Hopk… | 09/30/2020

Final Rule: Regulatory Capital Rule: Revised Transition of the Current Expected Cr… | 09/30/2020

Press Release: Joint Release/Agencies Issue Two Final Rules… | 09/29/2020

Press Release: Joint Release/Agencies Issue Two Final Rules — Real Estate Appraisals… | 09/29/2020

Financial Institution Letter: FIL-94-2020 – Agencies Adopt Final Rule on Certain Real Estate Transac… | 09/29/2020

Notice: FDIC Advisory Committee of State Regulators; Notice of Meeting… | 09/29/2020

Financial Institution Letter: FIL-93-2020 – Treatment of Certain Emergency Facilities in the Regulat… | 09/29/2020

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

 
 
 
FFIEC
 
 
 
 

Notice: Appraisal Subcommittee; Notice of Meeting… | 09/29/2020

 
 
 
FHA
 
 
 
 

News: FHA Quarterly Loan Review Summary Report October 2020… | 10/02/2020

 
 
 
FINCEN
 
 
 
 

News: Treasury News Release: Treasury Department Issues Ransomware Advisorie… | 10/01/2020

News: Treasury Issues Ransomware Advisories to Increase Awareness and Thwart… | 10/01/2020

Agency Update: FIN-2020-A006… | 10/01/2020

News: Prepared Remarks of FinCEN Director Kenneth A. Blanco at the ACAMS AML… | 09/29/2020

Notice: Agency Information Collection Activities; Proposed Renewal; Comment Re… | 09/29/2020

News: Prepared Remarks of FinCEN Director Kenneth A. Blanco, delivered virtu… | 09/29/2020

Agency Update: FinCEN Advisory FIN-2020-A005 Spanish… | 09/28/2020

 
 
 
FINRA
 
 
 
 

Notice: Self-Regulatory Organizations; Financial Industry Regulatory Authority… | 10/01/2020

AWCs (Letters of Acceptance, Waiver, and Consent): Walter Osvaldo Vazquez AWCs (Letters of Acceptance, Waiver, and Consen… | 10/01/2020

News: FINRA Foundation Awards 2020 Ketchum Prize to Michael Morris… | 09/30/2020

AWCs (Letters of Acceptance, Waiver, and Consent): Robert Barnard AWCs (Letters of Acceptance, Waiver, and Consent)… | 09/30/2020

AWCs (Letters of Acceptance, Waiver, and Consent): Kevin Shiuan-Yee Liu AWCs (Letters of Acceptance, Waiver, and Consent)… | 09/30/2020

AWCs (Letters of Acceptance, Waiver, and Consent): FIS Brokerage & Securities Services LLC AWCs (Letters of Acceptance, W… | 09/29/2020

AWCs (Letters of Acceptance, Waiver, and Consent): Michael Kris Pina AWCs (Letters of Acceptance, Waiver, and Consent)… | 09/29/2020

AWCs (Letters of Acceptance, Waiver, and Consent): Cynthia Kay Parrott Cooney AWCs (Letters of Acceptance, Waiver, and Co… | 09/29/2020

Notice: Self-Regulatory Organizations; Financial Industry Regulatory Authority… | 09/29/2020

AWCs (Letters of Acceptance, Waiver, and Consent): Michael R. Jeppson AWCs (Letters of Acceptance, Waiver, and Consent)… | 09/28/2020

 
 
 
FRS
 
 
 
 
 
 

Notice: Change in Bank Control Notices; Acquisitions of Shares of a Bank or Ba… | 10/05/2020

Notice: Change in Bank Control Notices; Acquisitions of Shares of a Bank or Ba… | 10/02/2020

Notice: Change in Bank Control Notices; Acquisitions of Shares of a Bank or Ba… | 10/02/2020

Press Release: Federal Reserve Board issues enforcement action with Atlantic Communit… | 10/01/2020

Press Release: Federal Reserve Board extends temporary actions aimed at increasing th… | 10/01/2020

Press Release: Federal Register notice: Temporary Actions to Support the Flow of Cred… | 10/01/2020

Press Release: Federal Reserve Board issues enforcement action with Atlantic Communit… | 10/01/2020

Speech: Community Banks Rise to the Challenge – Governor Michelle W. Bowman… | 09/30/2020

Press Release: Federal Reserve Board announces approval of notice by Morgan Stanley… | 09/30/2020

Press Release: Federal Reserve Board announces approval of notice by The Toronto-Domi… | 09/30/2020

 
 
 
FTC
 
 
 
 
 
 
 
 

Final Rule: Telemarketing Sales Rule Fees… | 10/05/2020

Event: Cmr. Wilson keynote at BBB National Programs, NAD 2020 Annual Conferen… | 10/05/2020

Notice: SES Performance Review Board… | 10/05/2020

Event: Thirteenth Annual Federal Trade Commission Microeconomics Conference -… | 10/02/2020

Notice: Agency Information Collection Activities; Submission for OMB Review; C… | 10/02/2020

Proposed Rule: Duties of Furnishers of Information to Consumer Reporting Agencies Rul… | 09/30/2020

News: FTC, State, and Federal Law Enforcement Partners Announce Nationwide C… | 09/29/2020

News: Statement of FTC Bureau of Competition Director Ian Conner on Peabody … | 09/29/2020

Complaint: Complaint for Permanent Injunction and Other Equitable Relief [Seal Li… | 09/29/2020

Motion: Ex Parte Order and Opinion Granting Motion for Temporary Restraining O… | 09/29/2020

 
 
 
INT-BIS
 
 
 
 

News: Payment aspects of financial inclusion – tools to facilitate the appli… | 09/29/2020

News: Payment aspects of financial inclusion – tools to facilitate the appli… | 09/29/2020

 
 
 
INT-EBA
 
 
 
 

News: EBA publishes final guidelines on the appropriate subsets of sectoral … | 10/01/2020

News: EBA publishes work programme for 2021… | 09/30/2020

 
 
 
INT-EC
 
 
 
 

News: September issue of newsletter is out!… | 09/30/2020

 
 
 
INT-FATF
 
 
 
 

Publication: Sweden’s progress in strengthening measures to tackle money laundering… | 10/02/2020

Publication: China’s progress in strengthening measures to tackle money laundering … | 10/01/2020

 
 
 
INT-FSB
 
 
 
 

News: Evaluation of too-big-to-fail reforms: Lessons for the COVID-19 pandem… | 09/28/2020

 
 
 
INT-IOSCO
 
 
 
 

Media Release: IOSCO Launches its fourth World Investor Week to enhance investor educ… | 10/05/2020

 
 
 
NCUA
 
 
 
 

Final Rule: Technical Amendments… | 10/02/2020

Notice: Submission for OMB Review; Comment Request… | 09/30/2020

 
 
 
NYSE
 
 
 
 

Notice: Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of … | 10/02/2020

Notice: Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of … | 10/02/2020

Notice: Self-Regulatory Organizations; New York Stock Exchange LLC, Notice of … | 10/02/2020

Notice: Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of … | 10/01/2020

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

 
 
 
OCC
 
 
 
 
 
 

Notice: Agency Information Collection Activities; Information Collection Renew… | 10/05/2020

Notice: Agency Information Collection Activities; Information Collection Renew… | 10/05/2020

Notice: Agency Information Collection Activities: Information Collection Renew… | 10/05/2020

Notice: Agency Information Collection Activities: Information Collection Renew… | 10/05/2020

Comment: National Banks and Federal Savings Associations as Lenders; Public Sub… | 10/02/2020

Comment: National Banks and Federal Savings Associations as Lenders; Public Sub… | 10/02/2020

Comment: National Banks and Federal Savings Associations as Lenders; Public Sub… | 10/02/2020

Comment: National Banks and Federal Savings Associations as Lenders; Public Sub… | 10/02/2020

Comment: National Banks and Federal Savings Associations as Lenders; Public Sub… | 10/02/2020

Comment: National Banks and Federal Savings Associations as Lenders; Public Sub… | 10/02/2020

 
 
 
OFAC
 
 
 
 

Notice: Notice of OFAC Sanctions Actions… | 10/05/2020

Notice: Notice of OFAC Sanctions Action… | 10/05/2020

Notice: Notice of OFAC Sanctions Action… | 10/05/2020

Final Rule: Weapons of Mass Destruction Proliferators Sanctions Regulations and Ir… | 10/01/2020

Final Rule: International Criminal Court-Related Sanctions Regulations… | 10/01/2020

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

 
 
 
RHS
 
 
 
 

Final Rule: OneRD Guaranteed Loan Regulation; Correction… | 10/02/2020

 
 
 
SEC
 
 
 
 
 
 
 
 

Notice: Sunshine Act Meetings… | 10/05/2020

Notice: Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and I… | 10/05/2020

Notice: Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of … | 10/02/2020

Notice: Sunshine Act Meetings… | 10/02/2020

Notice: Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of … | 10/02/2020

Notice: Self-Regulatory Organizations; MEMX, LLC; Notice of Filing and Immedia… | 10/02/2020

Notice: Self-Regulatory Organizations; National Securities Clearing Corporatio… | 10/02/2020

Notice: Frost Family of Funds and Frost Investment Advisors, LLC… | 10/02/2020

Notice: Self-Regulatory Organizations; Fixed Income Clearing Corporation; Noti… | 10/02/2020

Notice: Self-Regulatory Organizations; New York Stock Exchange LLC, Notice of … | 10/02/2020

 
 
 
TREAS
 
 
 
 
 
 

Press Release: Treasury Sanctions Belarus Officials for Undermining Democracy… | 10/02/2020

Press Release: Treasury Department Issues Ransomware Advisories to Increase Awareness… | 10/01/2020

News: U.S. Department of the Treasury… | 09/30/2020

Press Release: Treasury Continues Targeting Facilitators of Assad Regime… | 09/30/2020

Press Release: Treasury Concludes Loans to Seven Major Airlines, Supports Additional … | 09/29/2020

Statement: Remarks of Deputy Secretary Justin Muzinich at the 2020 U.S. Treasury … | 09/29/2020

News: U.S. Department of the Treasury… | 09/29/2020

News: U.S. Department of the Treasury… | 09/29/2020

Readout: Readout from a Treasury Spokesperson on Secretary Mnuchin’s Meeting wi… | 09/29/2020

News: U.S. Department of the Treasury… | 09/29/2020

 
 
 
UK-BOE
 
 
 
 
 
 

News: Lea Paterson: Panellist at the Financial Times Women at the Top Digita… | 10/02/2020

News: Andrew Bailey: Panellist at the Single Resolution Board (SRB) Conferen… | 10/02/2020

Seminar: Bank of England Flagship Seminar – Michael Sandel… | 10/02/2020

Agency Update: Monthly Decision Maker Panel data – September 2020… | 10/01/2020

Weekly report: Bank of England Weekly Report 30 September 2020… | 10/01/2020

Weekly report: Bank of England Weekly Report 30 September 2020 — Changes to the Bank… | 10/01/2020

Agency Update: Monthly Decision Maker Panel data – September 2020… | 10/01/2020

Weekly report: Bank of England Weekly Report 30 September 2020 — View and download h… | 10/01/2020

Weekly report: Bank of England Weekly Report 30 September 2020 — Further details abo… | 10/01/2020

News: Treasury Committee =E2=80=93 Oral evidence: Decarbonisation and Green Finance … | 09/30/2020

 
 
 
UK-FCA
 
 
 
 

News: FCA assists innovative companies in tackling coronavirus challenges… | 10/05/2020

News: ABN AMRO Private Bank (clone of EEA authorised firm)… | 10/02/2020

News: ISA Help… | 10/02/2020

News: Finanza-Invest (clone of FCA authorised firm)… | 10/02/2020

News: UK Savings Accounts… | 10/02/2020

News: Saxo Bank/ Saxo Capital/ Saxo Advisory (Clone of an EEA Authorised fir… | 10/01/2020

News: Compare APR Rates… | 10/01/2020

News: Fixed Rate Investment Reports… | 10/01/2020

News: MJT Bonds (clone of EEA authorised firm)… | 10/01/2020

News: Tradebase24… | 10/01/2020

 
 
 
UK-HMT
 
 
 
 
 
 

Corporate Report: Contingencies Fund account 2019 to 2020… | 09/29/2020

Corporate Report: Consolidated Fund account 2019 to 2020… | 09/29/2020

Corporate Report: Exchange Equalisation Account: report and accounts 2019 to 2020… | 09/29/2020

Corporate Report: HM Treasury annual report and accounts 2019 to 2020… | 09/29/2020

Corporate Report: National Loans Fund account 2019 to 2020… | 09/29/2020

Press Release: Chancellor Outlines Winter Economy Plan for Wales… | 09/29/2020

News Story: National Infrastructure Commission boosted by new appointments… | 09/29/2020

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

Policy Paper: Treasury Minutes – September 2020… | 09/28/2020

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

 
 
 
UK-ICO
 
 
 
 

News: ICO launches consultation on draft Statutory guidance… | 10/01/2020

Decision Notice: Neath Port Talbot County Borough Council… | 09/30/2020

Decision Notice: NHS England… | 09/30/2020

Decision Notice: Milton Keynes Council… | 09/30/2020

Decision Notice: Office for Standards in Education, Children’s Services and Skills… | 09/29/2020

Decision Notice: Home Office… | 09/29/2020

Decision Notice: Chelmsford City Council… | 09/29/2020

Decision Notice: Crown Prosecution Service… | 09/29/2020

Decision Notice: NHS Commissioning Board (NHS England)… | 09/29/2020

Decision Notice: Information Commissioner’s Office… | 09/29/2020

 
 
 
UK-LSB
 
 
 
 

News: LSB completes CRM Code consultation period… | 09/30/2020

News: LSB completes CRM Code consultation period — www.lendingstandardsboar… | 09/30/2020

 
 
 
UK-PRA
 
 
 
 

Letter: Letter from Victoria Saporta ‘Thematic feedback from the 2019/2020 rou… | 10/02/2020

Letter: Letter from Victoria Saporta ‘Thematic feedback from the 2019/2020 rou… | 10/02/2020

Prudential Regulation: PRA Regulatory Digest – September 2020… | 10/01/2020

Consultation paper: Internal Ratings Based UK mortgage risk weights: Managing deficiencies… | 09/30/2020

Consultation paper: Internal Ratings Based UK mortgage risk weights: Managing deficiencies… | 09/30/2020

 
 
 
VA
 
 
 
 

Notice: Agency Information Collection Activity: Paralympics & Olympics Monthly… | 10/05/2020

Notice: Privacy Act of 1974; System of Records… | 10/02/2020

Final Rule: Solicitation Provisions and Contract Clauses… | 10/01/2020

Notice: Agency Information Collection Activity Under OMB Review: Residency Ver… | 09/30/2020

Notice: Veterans’ Rural Health Advisory Committee; Notice of Meeting… | 09/29/2020

Notice: Solicitation of Nomination for Appointment to the Advisory Committee o… | 09/29/2020

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

 

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