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

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FINRA enforcements decreased 70% over the past 30 days

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SEC issued enforcements: $289,563,885 over the past 30 days

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161 Final Rules go into effect in the next 30 days

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36 Mortgage Lending docs published in the last 7 days

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1460 docs with 2637 extracted obligations from the last 7 days

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1415 new Proposed and Final Rules were published in the past 7 days

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8378 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

The SEC leads the pack kicking off 2022 with more than 150 enforcement actions, including a $77 million penalty given to the operators of a mutual fund fraud scheme.

Learn more about the latest trends and enforcements around fraud, risk and security in 2022 and see how the other agencies fared and other trends in the latest Enforcement eBook, FREE to download now!

In this eBook we investigate important current events, trends and best practices including:

  • The SEC’s Significant Actions in Traditional and Emerging Areas
  • Whistleblower Program Surpassed $1 Billion in Awards
  • SEC’s crackdown on fraud and misinformation
  • Compliance failures and securing personal data
  • and more…

Find out how RegTech improves efficiencies across your organization.

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