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285 Enforcement Actions in the U.S. over past 30 days
FINRA enforcements decreased 70% over the past 30 days
CME issued enforcements: $1,241,754.92 over the past 30 days
161 Final Rules go into effect in the next 30 days
19 Mortgage Lending docs published in the last 7 days
1460 docs with 2637 extracted obligations from the last 7 days
98 new Proposed and Final Rules were published in the past 7 days
2910 new docs in pro.compliance.ai within the last 7 days
Join us at the ABA RCC Conference, June 22-24
Considering RCM Solutions? Here’s an RFP to get started.
As the Information Age has led to an explosion of data, interconnectivity, and computing innovations, financial services firms have been required to expand monitoring for risky, unethical, and illegal behavior of people both inside and outside the firm. Compliance professionals must have initiatives in place to comply with obligations from agencies such as the CFTC, SEC, NFA, FINRA, and DOJ. Monitoring must now expand to new methods of market manipulation and spoofing, and activity on social networks and messaging systems.