241 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

-

27 Mortgage Lending docs published in the last 7 days

-

1460 docs with 2637 extracted obligations from the last 7 days

-

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

-

2879 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

The Spring 2021 Unified Agenda of Regulatory and Deregulatory Actions, which includes the SEC’s priorities, lists short and long-term regulatory actions that administrative agencies plan to take.

Learn more about the SEC’s emphasis on market structure modernization within equity markets, and required disclosures relating to climate, human capital, and cybersecurity risks. And see where the FTC is struggling to enforce authority in the latest FREE enforcement ebook!

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

In the second quarter (Q2) of 2021, the FTC also began enforcing the COVID-19 Consumer Protection Act, which prohibits deceptive acts or practices in connection to the pandemic. In the latest ebook you’ll see:

  • How the pandemic continues to affect enforcement actions and regulations across the board.
  • The latest SEC rulings and how they affect regulatory compliance.
  • Where the FTC is failing to enforce their authority when it comes to penalties against deceptive practices.

Find out how RegTech improves efficiencies across your organization.

Schedule a Demo
X