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

-

The next financial crisis will be brought on by inadequate regulation, top economist says

Source: CNBC

Amendments to Municipal Securities Disclosure

SEC | Broker-Dealer, Securities | Final Rule

Image Source: Banking Tech

In the financial services industry, where IT systems are high-volume and mission-critical, news of Big Iron’s ‘big crisis’ is greatly exaggerated, at least for now. It’s true that in today’s digital-first world, cloud-based services are seeing rapid adoption across all industries, especially as fintech providers launch applications that enable improved customer experiences and 24/7 banking, but mainframes are far from becoming extinct just yet…
The union for Consumer Financial Protection Bureau (CFPB) employees called on the agency’s acting chief to axe a senior official who wrote blog posts in 2004 dismissing racism, calling him “unfit for any leadership position in the federal government…

Image Source: LEPS project

As of 29 September, the EU-wide legislation on the electronic identification (eIDAS Regulation) will enter into force enabling cross-border recognition of the electronic ID and allowing citizens and business to share their identity data when necessary. People will be able to use their electronic ID (eID) such as ID cards, driver licenses, bank cards and fill tax returns online, access medical records and online public services across the EU…
SEC | Securities | Enforcement | 09/27/2018
NYSE | Securities | Enforcement | 09/26/2018
FINRA | Securities | Enforcement | 09/25/2018
SEC | Securities | Enforcement | 09/25/2018
SEC | Securities | Enforcement | 09/28/2018
X