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

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FINRA enforcements decreased 31% over the past 30 days

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SEC issued enforcements: $293,829,552.51 over the past 30 days

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148 Final Rules go into effect in the next 30 days

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84 Mortgage Lending docs published in the last 7 days

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4743 docs with 9164 extracted obligations from the last 7 days

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

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11951 new docs in pro.compliance.ai within the last 7 days

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Download the Q3 Enforcement eBook now!

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Join us Feb 4th at Comply 2021

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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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