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

-

FINRA enforcements increased 21% over the past 30 days

-

FTC issued enforcements: $8,726,254.27 over the past 30 days

-

165 Final Rules go into effect in the next 30 days

-

55 Mortgage Lending docs published in the last 7 days

-

5330 docs with 12540 extracted obligations from the last 7 days

-

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

-

11634 new docs in pro.compliance.ai within the last 7 days

-

Download the Q3 Enforcement eBook now!

-

Join us Feb 4th at Comply 2021

-

SBA Supervised Lenders Application Process

SBA | Lending | Final Rule

Financial Disclosure About Guarantors and Issuers of Guaranteed Securities and Affiliates Whose Securities Collateralize a Registrant's Securities; Correction

SEC | Securities | Final Rule

Order Granting a Temporary Conditional Exemption From the Broker Registration Requirements of Section 15(a) of the Securities Exchange Act of 1934 for Certain Activities of Registered Municipal Advisors

SEC | Securities | Notice

Branch Application Procedures

FDIC | Deposits  Final Rule

Margin Requirements for Uncleared Swaps for Swap Dealers and Major Swap Participants

CFTC | Securities | Final Rule

EU treaty instrument may mitigate risk of money laundering in the single market

EU treaty instrument may mitigate risk of money laundering in the single market
Global Risk Insights 12/07/2020
In September, the European Commission stated that it is planning to use a treaty instrument to clamp down on multinational companies seeking to take advantage of low corporate tax rates in small EU member states…
Read More

The many ways Visa expanded push payments in 2020

The many ways Visa expanded push payments in 2020
PaymentsSource 12/08/2020
Many companies pushed the limits of digital payments over the course of 2020, when the coronavirus pandemic and economic crisis created a cash flow emergency for many of Visa’s users…
Read More

Will CMBS litigation be the new RMBS litigation?
National Mortgage News 12/08/2020
Residential mortgage-backed securities offerings prior to 2008 gave rise to an abundance of litigation, some of which continues to this day…
Read More

Why does the SEC whistleblower reward program have so many secrets?
The FCPA Blog 12/08/2020
The SEC has awarded 123 whistleblowers an astounding $731 million since the first payout in 2012. But what do we really know about the whistleblower program?…
Read More

X