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188 Enforcement Actions in the U.S. over past 30 days
FINRA enforcements decreased 31% over the past 30 days
SEC issued enforcements: $293,829,552.51 over the past 30 days
148 Final Rules go into effect in the next 30 days
84 Mortgage Lending docs published in the last 7 days
4743 docs with 9164 extracted obligations from the last 7 days
new Proposed and Final Rules were published in the past 7 days
11951 new docs in pro.compliance.ai within the last 7 days
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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:
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