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

-

FINRA enforcements decreased 41% over the past 30 days

-

SEC issued enforcements: $20,672,263.00 over the past 30 days

-

104 Final Rules go into effect in the next 30 days

-

72 Mortgage Lending docs published in the last 7 days

-

4948 docs with 12942 extracted obligations from the last 7 days

-

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

-

12133 new docs in pro.compliance.ai within the last 7 days

-

Download the Q3 Enforcement eBook now!

-

Join us Feb 4th at Comply 2021

-

Fintech and AI, disintermediation through innovation

Fintech and AI, disintermediation through innovation

Source: Times of Malta

FAST Act Modernization and Simplification of Regulation S-K

SEC | Securities | Final Rule

Loans to Members and Lines of Credit to Members

NCUA | Lending | Final Rule

Applications by Security-Based Swap Dealers or Major Security-Based Swap Participants for Statutorily Disqualified Associated Persons To Effect or Be Involved in Effecting Security-Based Swaps

SEC | Broker-Dealer, Securities | Final Rule

Transaction Fee Pilot for NMS Stocks

SEC | Securities | Final Rule

Rules of Practice and Procedure; Civil Money Penalty Inflation Adjustment

FHFA | Mortgage Lending | Final Rule

Fintech and AI, disintermediation through innovation

Financial services and technology might be an odd couple but through their unison, we saw the birth of Fintech which is defined in the Oxford Dictionary as…
Read More

Wells Fargo struggles to escape Washington anger

Wells Fargo struggles to escape Washington anger
The Hill: Finance Policy 04/02/2019
Wells Fargo is searching for a new chief executive, one it hopes will finally help the beleaguered bank escape Washington’s anger after almost three years of scandals and mounting political pressure…
Read More

BofA pledges $5 billion for its affordable housing program

BofA pledges $5 billion for its affordable housing program
American Banker 04/02/2019
Bank of America pledged to commit $5 billion over the next five years to its program aimed at homebuyers with low to moderate incomes and multicultural households…
Read More

5 key themes dictating the direction of digital mortgages

5 key themes dictating the direction of digital mortgages
National Mortgage News 03/27/2019
The mortgage industry aims at technology to streamline processes and tackle workflow inefficiencies, financial burdens, and better borrower experiences…
Read More

Maxine Waters warns bankers she will take ‘a hard look’ to spot misconduct
The Hill: Finance Policy 04/02/2019
House Financial Services Committee Chairwoman Maxine Waters (D-Calif.) on Tuesday warned a conference of U.S. bankers that she will be keeping a close watch on misconduct in the banking sector and expects the industry to steer record profits toward struggling communities…
Read More

X