117 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

-

46 Mortgage Lending docs published in the last 7 days

-

149 docs with 7429 extracted obligations from the last 7 days

-

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

-

8506 new docs in pro.compliance.ai within the last 7 days

-

Download the Q3 Enforcement eBook now!

-

Join us Feb 4th at Comply 2021

-

Banking Help Gov’t Employees Impacted By Shutdown

Source: PYMNTS.com

Disclosure of Order Handling Information

SEC | Broker-Dealer, Securities | Final Rule

The Top Blockchain Patents of 2018
Law360: Banking 01/07/2019
This year promises to be a significant year for blockchain and cryptocurrency due to advances in the underlying technology and increasing levels of adoption by corporations and large financial institutions…
Read More

Trump argues economy has been stifled by rising interest rates
The Hill: Finance Policy 01/08/2019
President Trump early Tuesday took a swipe at the Federal Reserve, arguing the economy’s performance has been held back by the central bank’s decision to raise interest rates…

DTCC gets Swiss green light for derivatives trade reporting services
Finextra 01/08/2019
The Depository Trust & Clearing Corporation (DTCC), the premier post-trade market infrastructure for the global financial services industry, today announced that it has received regulatory approval from the Swiss Financial Market Supervisory Authority…
Read More
X