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


FINRA enforcements decreased 20% over the past 30 days


SEC issued enforcements: $257,952,440.51 over the past 30 days


169 Final Rules go into effect in the next 30 days


76 Mortgage Lending docs published in the last 7 days


4349 docs with 7261 extracted obligations from the last 7 days


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


11715 new docs in pro.compliance.ai within the last 7 days


Download the Q4 2020 Enforcement eBook now!


july, 2020

22jul12:00 pm3:00 pmCOMPLY Summit Webinar: Tech Innovation and the Solve for Financial Institutions During a Crisis


Event Details

The pandemic has radically changed how we do business. New technologies continue to push organizations to adapt to their compliance practices to ensure that lines of defense work together to meet regulatory and consumer protection obligations.

Join this virtual session to learn:

  • How organizations are assessing new compliance technologies to meet growing demands and shrinking budgets
  • The key needs and finding the right tech partners during critical times
  • How innovators are meeting the expectations set for their partnerships


(Wednesday) 12:00 pm - 3:00 pm