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

-

FINRA enforcements increased 21% over the past 30 days

-

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

-

165 Final Rules go into effect in the next 30 days

-

55 Mortgage Lending docs published in the last 7 days

-

5330 docs with 12540 extracted obligations from the last 7 days

-

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

-

11634 new docs in pro.compliance.ai within the last 7 days

-

Download the Q3 Enforcement eBook now!

-

Join us Feb 4th at Comply 2021

-

Order Granting a Temporary Conditional Exemption From the Broker Registration Requirements of Section 15(a) of the Securities Exchange Act of 1934 for Certain Activities of Registered Municipal Advisors

SEC | Securities | Notice

Branch Application Procedures

FDIC | Deposits  Final Rule

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

CFTC | Securities | Final Rule

Whistleblower Program Rules

SEC | Securities | Final Rule

General Provisions; Electric Bicycles

NPS | Deposits | Final Rule

How the banking sector is adapting to security and regulatory requirements [Q&A]

How the banking sector is adapting to security and regulatory requirements [Q&A]
BetaNews 11/26/2020
Banks and other financial services institutions have been moving more and more towards digital in order to streamline processes and improve customer service…
Read More

Blockchain Coalition Launches Tradable Carbon Credit Token

Blockchain Coalition Launches Tradable Carbon Credit Token
CoinDesk 12/01/2020
The UPCO2 token represents a certified measure of carbon dioxide and can be traded, held or burned to offset an individual’s carbon footprint…
Read More

Purchase mortgage defect risk rises again amid a hot housing market

Purchase mortgage defect risk rises again amid a hot housing market
National Mortgage News 12/01/2020
“More important for fraud risk is the continued sellers’ market, which may pressure home buyers to misrepresent information on their loan application to win the bid for a home,”…
Read More

Nearing the Deadline: How are stakeholders preparing for the launch of SCA?
Finextra Research 11/26/2020
One of the most prominent issues keeping stakeholders in the payments industry busy at the moment is…
Read More

X