Regulatory Agency Updates | Week Of Dec 17 To Dec 24

Regulatory Agency Updates | Week of Dec 17 to Dec 24

Dec 10 to Dec 17, 2018

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Regulatory Agency Activity Weekly Summary

Compliance.ai’s Weekly Regulatory Agency Activity Summary is the only comprehensive resource for financial compliance professionals to

stay up to date on the latest regulatory changes and updates.

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Enforcement | Published 12/19/2018
In the Matter of DIANE LUDWIG, a former institution- affiliated party of FIRST COMMUNITY BANK, Beemer, Nebraska, a state-member bank Docket No. 18-035-E-I Order of Prohibition Issued Upon Consent Pursuant to Section 8(e)… Read More
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CFTC

Notice | Published 12/17/2018 | Comments Close 02/15/2019
The Commodity Futures Trading Commission (“Commission” or “CFTC”) in furtherance of the LabCFTC initiative is seeking public comment and feedback on this Request for Input (“RFI”) in order to better inform the Commission’s understanding of the… Read More
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Proposed Rule | Published 12/21/2018 | Comments Close 01/22/2019
The Office of the Comptroller of the Currency, the Board of Governors of the Federal Reserve System, and the Federal Deposit Insurance Corporation (collectively, the agencies) are inviting comment on a proposal that would establish risk-based categor… Read More
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DOJ

Notice | Published 12/21/2018 | Comments Close 02/19/2019
The Department of Justice (DOJ), Office of Justice Programs (OJP), Bureau of Justice Statistics (BJS) intends to request approval from the Office of Management and Budget (OMB) for a generic information collection clearance that will allow BJS to con… Read More
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Proposed Rule | Published 12/21/2018 | Comments Close 01/22/2019
The Office of the Comptroller of the Currency, the Board of Governors of the Federal Reserve System, and the Federal Deposit Insurance Corporation (collectively, the agencies) are inviting comment on a proposal that would establish risk-based categor… Read More
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Enforcement | Published 12/21/2018
12/21/2018 John T. Place, et al. (Release No. LR-24379; Dec. 21, 2018) Search SEC Documents Go Company Filings | More Search Options ABOUT DIVISIONS & OFFICES ENFORCEMENT REGULATION EDUCATION FILINGS NEWS ENFORCEMENT Accounting and Audit… Read More
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Proposed Rule | Published 12/17/2018 | Comments Close 02/15/2019
The Rural Housing Service (RHS or Agency) is amending its regulation to eliminate the requirement for the annual publication of Notice of Funding Availability (NOFA). Additionally, RHS will remove all references to the term NOFA in other various sect… Read More
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Notice | Published 12/21/2018 | Comments Close 02/19/2019
The Department of the Treasury, as part of its continuing effort to reduce paperwork and respondent burden, invites the general public and other federal agencies to comment on proposed and/or continuing information collections, as required by the Pap… Read More
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Enforcement | Published 12/21/2018
In the Matter of Corpus Christi Polymers LLC, a limited liability company; Alfa, S.A.B. de C.V., a corporation; Indorama Ventures Plc, a corporation; Aloke Lohia and Suchitra Lohia, natural persons; and Far Eastern New Century Corporation, a corporat… Read More
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News | Published 12/21/2018
WASHINGTON, D.C. — The Consumer Financial Protection Bureau (Bureau) today announced final policy guidance describing the Home Mortgage Disclosure Act (HMDA) data the Bureau intends to make available to the public beginning in 2019, including modific… Read More
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FINRA

Enforcement | Published 12/21/2018
FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2014040051801 TO: Department of Market Regulation Financial Industry Regulatory Authority (“FINRA”) RE: J.P. Morgan Securities LLC, Respondent Broker-Dealer CRD No… Read More
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TREAS

Final Rule | Published 12/21/2018 | Effective 12/21/2018
The Secretary of the Treasury (the “Secretary”), as Chairperson of the Financial Stability Oversight Council (“FSOC”), after consultation with the Federal Deposit Insurance Corporation (the “FDIC”), is issuing a determination regarding requests… Read More
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EOP

Presidential Document | Published 12/21/2018
By the authority vested in me as President by the Constitution and the laws of the United States of America, it is hereby ordered as follows:… Read More
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NYSE

Proposed Rule | Published 12/20/2018
On April 16, 2018, NYSE Arca, Inc. (“Exchange” or “NYSE Arca”) filed with the Securities and Exchange Commission (“Commission”), pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (“Act”) and Rule 19b-4 thereunder… Read More
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News | Published 12/17/2018
WASHINGTON—The Financial Crimes Enforcement Network (FinCEN) today announced an assessment against UBS Financial Services, Inc. (UBSFS) for willful violations of the Bank Secrecy Act (BSA). FinCEN assessed a $14.5 million civil money penalty, of whic…. Read More
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News | Published 12/21/2018
December 21, 2018 – If the National Flood Insurance Program’s (NFIP) authority to issue new and renewal policies and increase coverage on existing policies expires on December 21, 2018, our policies on flood insurance remain unchanged… Read More
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Fannie

Agency Update | Published 12/19/2018
FHA INFO #18-51 December 19, 2018 TO: All FHA-Approved Mortgagees and Servicers All Other Interested Stakeholders -There is no charge for training courses and webinars offered by the Federal Housing Administration – NEWS AND UPDAT… Read More
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Agency Update | Published 12/19/2018
FHA INFO #18-51 December 19, 2018 TO: All FHA-Approved Mortgagees and Servicers All Other Interested Stakeholders -There is no charge for training courses and webinars offered by the Federal Housing Administration – NEWS AND UPDAT… Read More
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VA

Final Rule | Published 12/21/2018 | Effective 01/22/2019
Current statutory provisions provide Veterans’ Group Life Insurance (VGLI) insureds under the age of 60 with the opportunity to increase their VGLI coverage by $25,000 not more than once in each five-year period beginning on the one-year anniversary… Read More
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