Recent changes
GovPing tracks 504 sources in this role out of 2,503 total on GovPing, covering Guidance, Enforcement, Rule, FAQ, Notice, and Consultation instruments, with 875 changes recorded in the last 7 days.
Recent enforcement actions include the CFTC banning Fortini $1.3M disgorgement, a Nevada woman sentenced to 54 months for a $100M COVID‑tax fraud, and insurance brokers ordered to pay $135M for ACA fraud. The SEC also secured over $2 M in final judgments against Spartan Trading for offering fraud.
FINRA Proposed Rule Change to Amend Communications with the Public Rule
FINRA has filed a proposed rule change with the SEC to amend FINRA Rule 2210 concerning communications with the public. The amendment would permit members to project performance or provide targeted returns on investments, subject to specific conditions ensuring a sound basis for such projections.
CT Dept of Banking - Administrative Order for Banta, Meera, First Bank Mortgage
The Connecticut Department of Banking has added a new administrative order and settlement for Banta, Meera, and First Bank Mortgage, Inc. d/b/a Money Tree. The order, dated January 30, details the terms of the settlement.
RAM Payment LLC Consent Order filed 5th Feb
RAM Payment LLC Consent Order filed 5th Feb
Autofinder JPE, LLC Consent Order 2022-22162
Autofinder JPE, LLC Consent Order 2022-22162
ESMA Principles for Risk-Based Supervision
The European Securities and Markets Authority (ESMA) has published its principles for risk-based supervision. These principles aim to foster a common and effective EU-wide supervisory culture and strengthen the EU single market by providing a structured framework for identifying, assessing, and addressing risks.
ESAs Joint Guidelines on ESG Stress Testing
The European Supervisory Authorities (ESAs) have published joint guidelines on integrating environmental, social, and governance (ESG) risks into supervisory stress tests for the banking and insurance sectors. These guidelines aim to establish common standards for ESG risk assessment methodologies across the EU financial system and will be subject to a 'comply or explain' procedure by National Competent Authorities.
ESMA Thematic Note on ESG Strategies Clarity
The European Securities and Markets Authority (ESMA) has published a thematic note on ESG strategies, focusing on ESG integration and exclusions. The note aims to promote clarity in communications directed at retail investors and provides practical do's and don'ts to mitigate greenwashing risks.
ESMA, UK Regulators Sign MoU on DORA ICT Oversight
The European Supervisory Authorities (ESAs) and UK financial regulators (BoE, PRA, FCA) have signed a Memorandum of Understanding (MoU) to enhance cooperation on overseeing critical ICT third-party service providers under DORA. This agreement facilitates information sharing and coordinated oversight activities.
CFPB Supervisory Highlights Issue 32 - Consumer Reporting
The Consumer Financial Protection Bureau (CFPB) has released its Supervisory Highlights Issue 32, focusing on consumer reporting companies and furnishers. The report details supervisory observations and remedial actions related to accuracy and identity theft requirements under the FCRA and Regulation V.
CFPB Supervisory Highlights: Servicing and Collection of Consumer Debt
The Consumer Financial Protection Bureau (CFPB) has released its Supervisory Highlights Issue 34, focusing on the servicing and collection of consumer debt. This edition summarizes supervisory findings from April 1, 2023, to December 31, 2023, covering auto loans, student loans, debt collection, credit card account management, and deposit/prepaid accounts.
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873 changes in last 7 days
Latest high priority updates
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504 official sources tracked
Frequently asked questions
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Enforcement actions, guidance updates, and rule changes across every major federal financial regulator. OCC bulletins, FDIC financial institution letters, Fed SR letters, PCAOB standards, CFPB supervisory highlights, and state banking department actions.
Who is this for?
Compliance officers, risk managers, and GRC teams at banks, broker-dealers, and investment advisers who need to track regulatory changes across federal and state financial regulators.
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GovPing checks source pages multiple times daily. SEC enforcement actions and OCC bulletins typically appear within hours of publication.
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SEC, OCC, FDIC, Federal Reserve, FINRA, CFPB, FASB, PCAOB, and state banking regulators across all 50 states.
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