Regulatory Agency Updates | Week of February 10 to February 17

Agency Report February 10-17

Agency Report February 10-17

 
 
CA-CANLII
 
 
 
 

Agency Update: Cannabis Fees Order, SOR/2018-198 [Modified on Jan 22, 2020]… | 02/13/2020

 
 
 
CA-OPC
 
 
 
 

Agency Update: Video job interviews and privacy… | 02/13/2020

 
 
 
CFPB
 
 
 
 

Report: Supervisory Highlights, Issue No. 21 (Winter 2020)… | 02/14/2020

Blog: Worried about making your auto loan payments? Your lender may have opt… | 02/12/2020

Notice: Agency Information Collection Activities: Submission for OMB Review; C… | 02/10/2020

 
 
 
CFTC
 
 
 
 

Enforcement: Complaint: Venture Capital Investments and Breonna S. Clark, et al…. | 02/14/2020

News: CFTC Charges Colorado Resident with Fraud in Digital Asset-Linked Ponz… | 02/14/2020

Notice: Agency Information Collection Activities: Notice of Intent To Extend C… | 02/14/2020

News: CFTC Charges Unregistered Commodity Pool Operator and Its Principal wi… | 02/14/2020

Enforcement: Complaint: Joshua Christian McDonald, et al…. | 02/14/2020

Enforcement: Order: Matthew White… | 02/13/2020

News: CFTC Orders Florida Resident and His Company to Pay Over $1 Million fo… | 02/13/2020

Enforcement: Complaint: Michael Ackerman Q3 Holdings… | 02/11/2020

News: CFTC Charges Company and its Principal in $33 Million Fraudulent Digit… | 02/11/2020

Notice: Technology Advisory Committee… | 02/11/2020

 
 
 
DOJ
 
 
 
 

Agency Update: Readout of the Task Force Meeting on Missing and Murdered American Ind… | 02/13/2020

Notice: Agency Information Collection Activities; Proposed eCollection; eComme… | 02/13/2020

Agency Update: Nominations for the 2020 Sunshine Week FOIA Awards Are Open =E2=80=93 Nominate… | 02/12/2020

Notice: Notice of Lodging of Proposed Consent Decree Under the Clean Air Act… | 02/12/2020

Notice: Notice of Proposed Settlement Agreement and Draft Restoration Plan Und… | 02/12/2020

Notice: Notice of Lodging of Consent Decree Under the Clean Air Act… | 02/12/2020

Notice: Agency Information Collection Activities; Proposed eCollection eCommen… | 02/11/2020

 
 
 
DOL
 
 
 
 

Notice: Agency Information Collection Activities; Submission for OMB Review; C… | 02/14/2020

Notice: Agency Information Collection Activities; Submission for OMB Review; C… | 02/12/2020

Notice: Senior Executive Service; Appointment of Members to the Performance Re… | 02/10/2020

 
 
 
EBSA
 
 
 
 

Notice: Exemption From Certain Prohibited Transaction Restrictions Involving U… | 02/12/2020

 
 
 
EOP
 
 
 
 

Presidential Document: Continuation of the National Emergency With Respect to the Southern Bo… | 02/14/2020

Presidential Document: Sequestration Order for Fiscal Year 2021 Pursuant to Section 251A of t… | 02/13/2020

 
 
 
FDIC
 
 
 
 

Proposed Rule: Unsafe and Unsound Banking Practices: Brokered Deposits Restrictions… | 02/10/2020

 
 
 
FFIEC
 
 
 
 

Notice: Appraisal Subcommittee; Notice of Adoption of Grants Handbook… | 02/14/2020

 
 
 
FINRA
 
 
 
 

AWCs (Letters of Acceptance, Waiver, and Consent): Angela Marie Chatfield AWCs (Letters of Acceptance, Waiver, and Consen… | 02/14/2020

AWCs (Letters of Acceptance, Waiver, and Consent): Ronald W. Hannes AWCs (Letters of Acceptance, Waiver, and Consent)… | 02/13/2020

AWCs (Letters of Acceptance, Waiver, and Consent): David Francis Dalton AWCs (Letters of Acceptance, Waiver, and Consent)… | 02/12/2020

Notice: Self-Regulatory Organizations; Financial Industry Regulatory Authority… | 02/12/2020

AWCs (Letters of Acceptance, Waiver, and Consent): David Gray Dalton AWCs (Letters of Acceptance, Waiver, and Consent)… | 02/12/2020

AWCs (Letters of Acceptance, Waiver, and Consent): David Francis Dalton AWCs (Letters of Acceptance, Waiver, and Consent)… | 02/12/2020

AWCs (Letters of Acceptance, Waiver, and Consent): Jeffrey Scott Nimmow AWCs (Letters of Acceptance, Waiver, and Consent)… | 02/10/2020

 
 
 
FRS
 
 
 
 

Notice: Formations of, Acquisitions by, and Mergers of Bank Holding Companies… | 02/14/2020

Notice: Change in Bank Control Notices; Acquisitions of Shares of a Bank or Ba… | 02/14/2020

Notice: Change in Bank Control Notices; Acquisitions of Shares of a Bank or Ba… | 02/13/2020

News: Federal Reserve Board announces termination of enforcement actions wit… | 02/13/2020

Notice: Formations of, Acquisitions by, and Mergers of Bank Holding Companies… | 02/13/2020

Final Rule: Regulation D: Reserve Requirements of Depository Institutions… | 02/12/2020

Notice: Notice of Proposals To Engage in or To Acquire Companies Engaged in Pe… | 02/12/2020

Notice: Formations of, Acquisitions by, and Mergers of Bank Holding Companies… | 02/12/2020

News: Spontaneity and Order: Transparency, Accountability, and Fairness in B… | 02/11/2020

Notice: Formations of, Acquisitions by, and Mergers of Bank Holding Companies… | 02/11/2020

 
 
 
FTC
 
 
 
 
 
 

News: FTC Requires Veterinary Service Providers Compassion First and Nationa… | 02/14/2020

Enforcement: Agnaten SE, Compassion First, and NVA, In the Matter of… | 02/14/2020

Proposed Rule: Funeral Industry Practices Rule… | 02/14/2020

News: Defendants Responsible for International Business Coaching Operation t… | 02/13/2020

News: New FTC Data Show Consumers Reported Losing More Than $200 Million to … | 02/12/2020

News: FTC Sues Online Trading Academy for Running an Investment Training Sch… | 02/12/2020

News: FTC Seeks Public Comment on its Endorsement Guides… | 02/12/2020

Notice: LendEDU; Analysis To Aid Public Comment… | 02/12/2020

Enforcement: Online Trading Academy… | 02/12/2020

Enforcement: Online Trading Academy… | 02/12/2020

 
 
 
Freddie
 
 
 
 

Bulletin: Bulletin 2020-2 Servicing… | 02/12/2020

News: Guide Bulletin 2020-2: Servicing Cooperative Share Loans, Voluntary Pa… | 02/12/2020

 
 
 
INT-BIS
 
 
 
 

Agency Update: Dollar borrowing, firm-characteristics, and FX-hedged funding opportun… | 02/13/2020

Agency Update: Do credit card companies screen for behavioural biases?… | 02/12/2020

Agency Update: On fintech and financial inclusion… | 02/12/2020

Agency Update: The digital economy and financial innovation… | 02/12/2020

Agency Update: Operational and cyber risks in the financial sector… | 02/11/2020

 
 
 
INT-EC
 
 
 
 

Public Consultations: Review of the MiFID II/MiFIR regulatory framework… | 02/17/2020

 
 
 
INT-FSB
 
 
 
 

News: Call for papers: 2020 Annual Meeting of the Central Bank Research Asso… | 02/12/2020

 
 
 
INT-IOSCO
 
 
 
 

Comment Letter: FR02/2020 Issues, Risks and Regulatory Considerations Relating to Cryp… | 02/12/2020

Comment Letter: FR02/2020 Issues, Risks and Regulatory Considerations Relating to Cryp… | 02/12/2020

Comment Letter: FR02/2020 Issues, Risks and Regulatory Considerations Relating to Cryp… | 02/12/2020

Comment Letter: FR02/2020 Issues, Risks and Regulatory Considerations Relating to Cryp… | 02/12/2020

Comment Letter: FR02/2020 Issues, Risks and Regulatory Considerations Relating to Cryp… | 02/12/2020

Comment Letter: FR02/2020 Issues, Risks and Regulatory Considerations Relating to Cryp… | 02/12/2020

Comment Letter: FR02/2020 Issues, Risks and Regulatory Considerations Relating to Cryp… | 02/12/2020

Final Rule: FR02/2020 Issues, Risks and Regulatory Considerations Relating to Cryp… | 02/12/2020

Comment Letter: FR02/2020 Issues, Risks and Regulatory Considerations Relating to Cryp… | 02/12/2020

Comment Letter: FR02/2020 Issues, Risks and Regulatory Considerations Relating to Cryp… | 02/12/2020

 
 
 
OCC
 
 
 
 

Comment: Community Reinvestment Act Regulations; Public Submission; Alec Vanden… | 02/13/2020

Comment: Community Reinvestment Act Regulations; Public Submission; Habitat for… | 02/13/2020

Comment: Community Reinvestment Act Regulations; Public Submission; Riverworks … | 02/13/2020

Comment: Community Reinvestment Act Regulations; Public Submission; Kimber Lann… | 02/13/2020

Comment: Community Reinvestment Act Regulations; Public Submission; Elizabeth W… | 02/13/2020

Comment: Community Reinvestment Act Regulations; Public Submission; Penelope Do… | 02/13/2020

Comment: Community Reinvestment Act Regulations; Public Submission; Emily Blank… | 02/12/2020

Comment: Community Reinvestment Act Regulations; Public Submission; Saratoga Na… | 02/12/2020

Comment: Community Reinvestment Act Regulations; Public Submission; The Fair Ho… | 02/12/2020

Comment: Community Reinvestment Act Regulations; Public Submission; Tony Hintze… | 02/12/2020

 
 
 
OFAC
 
 
 
 

Financial Sanction: Counter Terrorism Designations Removals… | 02/12/2020

Notice: Notice of OFAC Sanctions Actions… | 02/10/2020

 
 
 
SEC
 
 
 
 

Enforcement: National Stock Exchange and David Colker… | 02/14/2020

Notice: Sunshine Act Meetings… | 02/14/2020

Notice: Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Fil… | 02/13/2020

Enforcement: Criterion Wealth Management Insurance Services, Inc., Robert Allen Gra… | 02/13/2020

Enforcement: Martin J. Kinchloe… | 02/13/2020

Enforcement: SEC Complaint – Criterion Wealth Management Insurance Services, Inc., … | 02/13/2020

Enforcement: Marc A. Celello, Esq…. | 02/13/2020

Enforcement: BPU Investment Management, Inc…. | 02/13/2020

News: SEC Announces Nancy Sumption as Senior Advisor to the Chairman for Cyb… | 02/13/2020

Notice: Proposed Collection; Comment Request… | 02/12/2020

 
 
 
TREAS
 
 
 
 

News: U.S. Department of the Treasury… | 02/14/2020

Notice: Open Meeting of the Financial Research Advisory Committee… | 02/14/2020

Final Rule: Import Restrictions Imposed on Archaeological and Ethnological Materia… | 02/14/2020

News: U.S. Department of the Treasury… | 02/12/2020

News: U.S. Department of the Treasury… | 02/12/2020

News: U.S. Department of the Treasury… | 02/12/2020

News: U.S. Department of the Treasury… | 02/10/2020

News: U.S. Department of the Treasury… | 02/10/2020

Notice: List of Countries Requiring Cooperation With an International Boycott… | 02/10/2020

 
 
 
UK-BOE
 
 
 
 
 
 

Agency Update: Blockchain structure and cryptocurrency prices… | 02/14/2020

Working Paper: Blockchain structure and cryptocurrency prices — Blockchain structure… | 02/14/2020

Working Paper: Blockchain structure and cryptocurrency prices — Sign up for email no… | 02/14/2020

Working Paper: Blockchain structure and cryptocurrency prices… | 02/14/2020

News: Rouge =E2=80=93 impair =E2=80=93 manque: reflections on accounting standards – speech … | 02/13/2020

Agency Update: Bank of England Weekly Report 12 February 2020… | 02/13/2020

Weekly report: Bank of England Weekly Report 12 February 2020 — Further details abou… | 02/13/2020

Weekly report: Bank of England Weekly Report 12 February 2020 — View and download hi… | 02/13/2020

Weekly report: Bank of England Weekly Report 12 February 2020… | 02/13/2020

Weekly report: Bank of England Weekly Report 12 February 2020 — Changes to the Bank’… | 02/13/2020

 
 
 
UK-FCA
 
 
 
 
 
 
 
 

Final notices: Final notice 2020: Moneybarn Limited… | 02/16/2020

News: Data Financial Services Group… | 02/14/2020

News: Country Loans (clone of authorised firm)… | 02/14/2020

News: Funds-Recovery.co.uk / Fund Recovery (Clone of Claims Management firm)… | 02/14/2020

News: The Bond Supermarket / Bond Supermarket… | 02/13/2020

News: Penalties, remediation, and our General Principles… | 02/13/2020

News: Cryptomarket… | 02/13/2020

Correspondence: Credit Brokers Portfolio Letter… | 02/13/2020

News: Info Bond Finder / Bond Finder… | 02/13/2020

News: FCA appoints Sheldon Mills as Interim Executive Director of Strategy a… | 02/13/2020

 
 
 
UK-HMT
 
 
 
 
 
 

News Story: Charles Donald appointed as CEO of UK Government Investments… | 02/17/2020

Policy Paper: Treasury minutes progress report – February 2020… | 02/13/2020

Corporate Report: Vote on Account 2020-21… | 02/12/2020

Corporate Report: Supplementary Estimates 2019-20… | 02/12/2020

News Story: HMRC extends customs grant funding deadline… | 02/10/2020

Press Release: Major boost for bus services as PM outlines new vision for local trans… | 02/10/2020

News Story: Innovative new Freeports across the UK as Government lays out plans to… | 02/10/2020

 
 
 
UK-ICO
 
 
 
 

Follow up audit: Delta Academies Trust… | 02/14/2020

News: Statement regarding the government=E2=80=99s initial response to Online Harms … | 02/12/2020

 
 
 
UK-LSB
 
 
 
 

News: The Standards of Lending Practice are a FCA-recognised industry code… | 02/14/2020

News: The Standards of Lending Practice are a FCA-recognised industry code -… | 02/14/2020

 
 
 
VA
 
 
 
 

Notice: Rehabilitation Research and Development Service Scientific Merit Revie… | 02/14/2020

Notice: Health Services Research and Development Service Scientific Merit Revi… | 02/14/2020

Notice: Agency Information Collection Activity Under OMB Review: Disability Be… | 02/14/2020

News: This announcement provides information on the emergency system mainten… | 02/13/2020

Proposed Rule: VA Acquisition Regulation: Administrative Matters; Publicizing Contrac… | 02/13/2020

Notice: Rental and Utility Assistance for Certain Low-Income Veteran Families… | 02/12/2020

Notice: Agency Information Collection Activity: Designation of Beneficiary Gov… | 02/12/2020

Notice: Agency Information Collection Activity: Status of Loan Account-Foreclo… | 02/12/2020

Notice: Funding Availability: Homeless Providers Grant and Per Diem Program… | 02/12/2020

Notice: Agency Information Collection Activity: Create Payment Request for the… | 02/12/2020

 

X