Penalties: N/A
Respondent: Samrat Deep Bhandari
Violation: It appears to the Authority that Mr. Bhandari is not a fit and proper person to perform any function in relation to any regulated activity carried on by any authorized person, exempt person or exempt professional firm. His convictions demonstrate a clear and serious lack of honesty and integrity. In reaching this decision, the Authority has had regard to all relevant circumstances, including the severity of the risk posed by Mr. Bhandari to consumers and financial institutions and to confidence in the market generally… Read More
131 Enforcement Actions in the U.S. over past 30 days
OFAC enforcements increased 50% over the past 30 days
SEC issued enforcements: $88,633,075.00 over the past 30 days
123 Final Rules go into effect in the next 30 days
40 Mortgage Lending docs published in the last 7 days
149 docs with 7429 extracted obligations from the last 7 days
58 new Proposed and Final Rules were published in the past 7 days
6800 new docs in pro.compliance.ai within the last 7 days
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