321 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

-

33 Mortgage Lending docs published in the last 7 days

-

1460 docs with 2637 extracted obligations from the last 7 days

-

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

-

4075 new docs in pro.compliance.ai within the last 7 days

-

Considering RCM Solutions?  Here’s an RFP to get started.

-

Free eBook: Enforcement Actions

When Presidential Administrations change, regulatory change follows. Priorities change, enforcement patterns shift, and personnel inevitably turns over at regulatory agencies, often even if the same President is reelected. To learn about the latest enforcement action trends and predictions for 2021 download the free eBook here.

How are financial compliance, risk and crime professionals tracking and monitoring enforcement actions?

In the first quarter of 2021, the SEC shifted course, as expected, with the change in Presidential Administrations. However, shifts in policy and enforcement activities were nuanced. This may partially be due to timing. The transition to a new Administration takes time, and there are always switching costs. Moreover, the January 6 attack on the Capitol and associated political disturbances have slowed change.

See the impact of enforcements in the first quarter of the new administration.

Here are key takeaways from our latest enforcements:

  • The SEC’s division of examinations and new 2021 priorities
  • The position of securities, fraud and insider trading
  • Review and get highlights from the FTC’s Q1 Enforcement report
  • Notable actions across regulatory authorities

Find out how RegTech improves efficiencies across your organization.

Schedule a Demo
X