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

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SEC enforcements Increased 15% over the past 30 days

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SEC issued enforcements: $304,504,552.51 over the past 30 days

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257 Final Rules go into effect in the next 30 days

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76 Mortgage Lending docs published in the last 7 days

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3957 docs with 8216 extracted obligations from the last 7 days

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

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8571 new docs in pro.compliance.ai within the last 7 days

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Download the Q3 Enforcement eBook now!

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Join us Feb 4th at Comply 2021

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Enterprise Regulatory Capital Framework

FHFA OFHEO | Lending, Mortgage Lending | Final Rule

Management's Discussion and Analysis, Selected Financial Data, and Supplementary Financial Information

SEC | Securities | Final Rule

Privacy Act of 1974; System of Records

DHS | Mortgage Lending | Notice

Exemption From Derivatives Clearing Organization Registration

CFTC | Securities | Final Rule

Fund of Funds Arrangements

SEC | Securities | Final Rule

Fintechs eye automation with nearly $1B in funding

Fintechs eye automation with nearly $1B in funding
Bank Automation News 01/15/2021
Fintechs MX and Blend secured $300 million funding rounds Wednesday just as both companies top off plans for digital innovations in the coming months. Global payments fintech Rapyd also joined the pack with its own $300 million package, which it will use to expand its engineering teams…
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The FCPA in 2020: New compliance requirements shake industries, and severe punishment for broken controls
The FCPA Blog 01/19/2021
As I look back over the FCPA developments from 2020, one thing stands out: the DOJ and SEC continue to demand robust compliance controls…
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The refi boom’s aftermath
National Mortgage News 01/19/2021
With refinance volumes predicted to fall — but currently continuing apace — lenders explain how they’re readying themselves for eventual contraction and its implications for their expenditures…
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Janet Yellen’s confirmation hearing for Treasury secretary centers on the pandemic.
The New York Times: Business 01/19/2021
Janet Yellen, President-elect Joseph R. Biden’s nominee to be Treasury secretary, said at her confirmation hearing on Tuesday that investing in vaccine distribution and expanded jobless benefits will provide the biggest “bang” for the economy in a future stimulus package to help Americans get through the current “dark” economic time…
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