RegAlert

Enforcement regulation

Enforcement actions, penalties, license withdrawals and supervisory sanctions against named parties. 2825 publications, summarized in English and updated same-day.

Connecticut (771)US Federal (272)Nigeria (252)Mexico (134)Florida (106)Pennsylvania (97)Ecuador (94)Peru (79)Canada (62)Moldova (62)India (49)Cayman Islands (46)Indonesia (41)South Africa (39)Kenya (36)Egypt (36)Ghana (31)Brazil (28)Taiwan (24)Bahamas (23)Netherlands (22)Bolivia (22)Zambia (20)Bangladesh (19)Philippines (18)United Arab Emirates (18)New Zealand (17)Hong Kong (16)United Kingdom (15)European Union (15)Belgium (15)Palestine (15)Saudi Arabia (14)Sri Lanka (14)Nicaragua (14)Argentina (13)Mauritius (13)Australia (12)Kyrgyzstan (12)Namibia (11)Uzbekistan (10)Vietnam (10)Rwanda (9)Jordan (9)Lesotho (8)Illinois (8)Vermont (8)Senegal (7)Ethiopia (7)New Mexico (7)Greece (6)Trinidad and Tobago (6)Liechtenstein (6)Isle of Man (6)Serbia (6)Burundi (5)Lebanon (5)

2026-09-30

AUSTRAC begins issuing infringement notices to non-enrolled businesses

Australian Transaction Reports and Analysis Centre

Australia

AUSTRAC

2026-09-30

Final Order — Securities Guaranty Fund Claim

Florida Office of Financial Regulation

Florida

OFR

2026-09-30

Final Order — Loan Originator

Florida Office of Financial Regulation

Florida

OFR

2026-09-30

Final Order — Money Services Business

Florida Office of Financial Regulation

Florida

OFR

2026-09-30

Final Order — Securities Guaranty Fund Claim

Florida Office of Financial Regulation

Florida

OFR

2026-09-30

Consent Agreement and Order: Acadia Investment Advisors, LLC

Pennsylvania Department of Banking and Securities

Pennsylvania

DOBS

2026-09-30

Final Order — Mortgage Lender (NewRez LLC)

Florida Office of Financial Regulation

Florida

OFR

2026-09-29

IOEAMA UNSCR Ref SC16465 ISIL (Da’esh) and Al-Qaida 28 September 2026

Securities Commission of The Bahamas

Bahamas

SCB

2026-09-28

Consent Agreement and Order: Wexford Wealth Advisors, LLC

Pennsylvania Department of Banking and Securities

Pennsylvania

DOBS

2026-09-25

Sanctions Penalties Regulations

Office of Foreign Assets Control

US Federal

OFAC

2026-09-25

Circular No. 48/2026/TT-NHNN Amending and Supplementing Certain Articles of Circular No. 26/2021/TT-NHNN on Foreign Exchange Transactions Between the State Bank of Vietnam and Credit Institutions Permitted to Operate in Foreign Exchange

State Bank of Vietnam

Vietnam

SBV

2026-09-24

Instructions No. 6 of 2026 Regarding the Inclusion of Persons with Disabilities in Banking Services

Palestine Monetary Authority

Palestine

PMA

2026-09-24

Final Order Denying Petition for Waiver or Variance from Rule 69V-40.00112

Florida Office of Financial Regulation

Florida

OFR

2026-09-24

Final Order — Investment Adviser/Associated Person

Florida Office of Financial Regulation

Florida

OFR

2026-09-23

Consent Agreement and Order re Themis Mortgage, LLC

Pennsylvania Department of Banking and Securities

Pennsylvania

DOBS

2026-09-22

Superintendent's Resolution No. 098-2026-SMV/02 on Grupo Coril SAB's appeal against a sanction

Superintendencia del Mercado de Valores (Peru)

Peru

SMV

2026-09-22

Decision on the Preliminary Request of Mr. [...] Regarding the Contestation of CNPF Letter No. 05-5/3464 of 11.08.2026

National Commission for Financial Markets Moldova

Moldova

NCFM

2026-09-21

FMA warns of TSB overcharging on business accounts

Financial Markets Authority

New Zealand

FMA

2026-09-18

Bulletin 3265 - September 18, 2026

Connecticut Department of Banking

Connecticut

CTDOB

2026-09-17

Supplement to the Announcement of May 28, 2026

Finanzmarktaufsicht Liechtenstein

Liechtenstein

FMA

2026-09-17

CFTC Staff Letter 26-25: No-Action Position on Introducing Broker and Associated Person Registration for Passive Software Providers

Commodity Futures Trading Commission

US Federal

CFTC

2026-09-17

IDFPR Takes Action Against Unlicensed Student Loan Debt Relief Companies, Orders Consumer Restitution

Illinois Department of Financial and Professional Regulation

Illinois

IDFPR

2026-09-16

Whistleblower Award Determination

Commodity Futures Trading Commission

US Federal

CFTC

2026-09-16

General Supervision of Entities Intendancy Resolution No. 141-2026-SMV/10.2

Superintendencia del Mercado de Valores (Peru)

Peru

SMV

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