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

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FINRA enforcements decreased 14% over the past 30 days

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SEC issued enforcements: $225,742,880.78 over the past 30 days

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117 Final Rules go into effect in the next 30 days

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70 Mortgage Lending docs published in the last 7 days

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1836 docs with 3519 extracted obligations from the last 7 days

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

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5599 new docs in pro.compliance.ai within the last 7 days

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

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Free eBook: Enforcement Actions

How did 2020 end in the world of enforcements and how did it impact regulators in Q4-2020? Download the latest Enforcement eBook today!

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

The impact of enforcements was massive in 2020, bringing in some of the largest enforcements seen in the SEC over time, including JPMorgan Chase, the Wirecard Scandal and much more. Here are some key takeaways from our latest enforcement analysis:

  • The SEC maximizing penalties and focused on “big game”
  • The impact of the pandemic on enforcements and regulations
  • The effort to modernize regulatory compliance in 2020
  • A look at cybersecurity and privacy

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