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

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FINRA enforcements increased 21% over the past 30 days

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

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165 Final Rules go into effect in the next 30 days

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55 Mortgage Lending docs published in the last 7 days

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5330 docs with 12540 extracted obligations from the last 7 days

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

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11634 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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Switching banks with one click can reshape financial services

Switching banks with one click can reshape financial services

Source: The Australian Financial Review

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

CFTC | Deposits, Securities | Final Rule

Regulatory Notice 19-30 SEC Approves Amendments Relating to Transactions in U.S. Treasury Securities Executed to Hedge a Primary Market Transaction Effective date: June 1, 2020

FINRA | Securities | Notices

Regulatory Notice 19-30 SEC Approves Amendments Relating to Transactions in US Treasury Securities Executed to Hedge a Primary Market Transaction Effective date: June 01, 2020

FINRA | Securities | Notices

Assessments, Mitigating the Deposit Insurance Assessment Effect of Participation in the Paycheck Protection Program (PPP), the PPP Lending Facility, and the Money Market Mutual Fund Liquidity Facility

FDIC | Lending | Proposed Rule

Agency Information Collection Activities; Submission to the Office of Management and Budget for Review and Approval; Trust Land Mortgage Lender Checklists

BIA | Mortgage Lending | Notice

Switching banks with one click can reshape financial services

Switching banks with one click can reshape financial services
The Australian Financial Review 05/25/2020
Australia’s “open banking” era begins in about a month, with the first application of the government’s flagship “consumer data right” (CDR) to give citizens control of their data…
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Who’s on the Hook for Skipped Mortgage Payments

Financial Crimes Management Solutions Join The Fraud Battle
PYMNTS.com 05/26/2020
Who doesn’t love a good mystery crime drama? Fraud victims, for a start. And for corporations in the financial sector, fraud scales. That’s millions of records hacked, accounts taken over and lives disrupted. Right now, the situation is worse than ever, as COVID-19 chaos gives crooks the greatest opportunity they will likely ever see…
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DSIR Deeper Dive Regulatory Investigation Landscape

DSIR Deeper Dive: Regulatory Investigation Landscape
Data Privacy Monitor 05/26/2020
HIPAA-covered entity and business associate breaches continue to draw attention from the Office for Civil Rights (OCR) and other regulators. In almost every HIPAA incident we handled in 2019 involving more than 500 individuals, OCR issued a data request. While OCR investigations can be burdensome, few of them result in penalties. State attorneys general have…
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Payday lender scheme stopped
BankersOnline.com: Top Stories 05/26/2020
A payday lender who deceptively overcharging consumers millions of dollars and withdrawing money repeatedly from…
Read More

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