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

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FINRA enforcements decreased 41% over the past 30 days

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

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104 Final Rules go into effect in the next 30 days

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72 Mortgage Lending docs published in the last 7 days

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4948 docs with 12942 extracted obligations from the last 7 days

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

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12133 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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Investors Warned to Heed Big Bank Regulator Fines

Source: PYMNTS.com

Amendments to Municipal Securities Disclosure

SEC | Broker-Dealer, Securities | Final Rule

Investors shouldn’t shrug off fines against big banks that run afoul of banking regulations because they impact returns over the longer term. That’s according to The Wall Street Journal, which reported that regulations put on large banks after the great recession — combined with pressure to identify and stop illicit financial crimes such as money…
Banco BPI, a Portuguese retail bank and a member of the CaixaBank Group, has partnered with Diebold…

Image Source: DTCC

The Depository Trust & Clearing Corporation (DTCC), the premier post-trade market infrastructure for…

Image Source: Ncontracts

Five U.S. regulatory agencies—the Board of Governors of the Federal Reserve System, the Federal Deposit Insurance Corporation, the National Credit Union Administration, the Office of the Comptroller of the Currency, and the U.S. Department of Treasury’s Financial Crimes Enforcement Network (“FinCEN”)—released on October 3, 2018 an Interagency Statement on Sharing Bank Secrecy Act Resources (“Statement”)…
FDIC issues research paper on use of digital footprints to assess creditworthiness
Consumer Finance Monitor 10/09/2018
The FDIC’s Center for Financial Research has issued a research paper that discusses the use of the information contained in a “digital footprint,” meaning the information that people leave online by accessing or registering on a website, for predicting consumer default…
Wesley Justin Foltz
FINRA |Broker-Dealer, Securities | Enforcement | 10/05/2018
SEC | Securities | Enforcement | 10/04/2018
FINRA | Securities | Enforcement | 10/04/2018
FINRA | Broker-Dealer, Securities | Enforcement | 10/08/2018
FINRA | Broker-Dealer, Securities | Enforcement | 10/05/2018
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