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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11692 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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Can Silicon Valley remake the payday lending industry?

Can Silicon Valley remake the payday lending industry?

Source: New Statesman

Prudential Standards for Large Bank Holding Companies, Savings, and Loan Holding Companies, and Foreign Banking Organizations

FRS | Mortgage Lending, Securities | Final Rule

Exchange-Traded Funds

SEC | Securities | Final Rule

Order Granting a Conditional Exemption From Exchange Act Section 11(D)(1) and Exchange Act Rules 10B-10, 15C1-5, 15C1-6, and 14E-5 for Certain Exchange Traded Funds

SEC | Broker-Dealer, Securities | Notice

Solicitations of Interest Prior to a Registered Public Offering

SEC | Crowdfunding, Securities | Final Rule

Position Limits and Position Accountability for Security Futures Products

CFTC | Securities | Final Rule

Can Silicon Valley remake the payday lending industry?

Can Silicon Valley remake the payday lending industry?
New Statesman 11/25/2019
Like most millennials deep in debt, I don’t spend money on luxuries like cable TV. Instead, my phone is filled with a variety of free streaming apps to cast shows, many of which use ads…
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The FCPA Blog

UK Enforcement: Alstom unit fined $21 million for overseas bribes
The FCPA Blog 11/26/2019
The SFO’s decade-long investigation of Paris-based Alstom ended Monday with the sentencing of a UK subsidiary for bribery in Tunisia…
Read More

Why small businesses need regulators' proposed 'Madden' fix

Why small businesses need regulators’ proposed ‘Madden’ fix
American Banker 11/26/2019
Bank regulators are considering a bypass to the 2015 court ruling governing loan sales that would ultimately offer more credit options to entrepreneurs…
Read More

U.K. Regulator Cracks Down on Marketing of Riskiest Bonds

U.K. Regulator Cracks Down on Marketing of Riskiest Bonds
The Wall Street Journal: Markets 11/26/2019
The U.K.’s financial regulator banned the marketing of some of the riskiest types of bonds to mom-and-pop investors, after the collapse of a lender earlier this year left thousands of people poised to lose a significant portion of their investments…
Read More

New York Man Sentenced in $1.3 million Fraud Scheme
Credit Union Times 11/26/2019
Angel L. Morales, 52, of New York, N.Y, previously admitted that he and nine others who were part of a Rhode Island-based fraud ring stole personal identifying information to open credit union and bank accounts and applied for car loans. Once the loans were obtained, Morales deposited the funds into accounts and quickly withdrew the money before the credit union or bank discovered the fraud, federal prosecutors said…
Read More

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