Topic
Enforcement
987 published works
Consumer Finance Monitor
Today’s podcast episode: Everything You Want to Know About the CFPB as Things Stand Today, and Lots More – Part 2
Our podcast show being released today is part 2 of a repurposed interactive webinar that we presented on March 24 featuring two of the leading journalists who cover the CFPB…
State AG Blog
A New Sheriff in Town: State Attorneys General Take Action To Enforce Violations of the Foreign Corrupt Practices Act
By Toni Michelle Jackson, Agustin D. Orozco, Alexander J. Kramer, Derick D. Dailey
California Attorney General Rob Bonta advised California businesses that his office will enforce the Foreign Corrupt Practices Act (“FCPA”), marking a shift towards state enforcement of the FCPA in the…
Ogletree Deakins Insights
CFTC Unveils Replacement Penalty Mitigation Policy Focused on Self-Reporting, Cooperation, and Remediation
By By: Mark N. Mallery, Zachary V. Zagger
Quick Hits The CFTC’s new policy allows companies to potentially reduce penalties by up to 55 percent through voluntary self-reporting, cooperation, and effective remediation of misconduct. The policy introduces a…
SEC Actions
Giving Notice of Wrongful Conduct
One focus of agency enforcement actions is the prevention of future violations and the protection of investors and markets. This can be accomplished in part by notice, that is, informing…
Beyond the First 100 Days
SEC Revokes Enforcement Division’s Authority to Issue Formal Orders of Investigation
SEC Staff seeking authority to issue subpoenas must now obtain Commission approval. On March 10, 2025, in a vote that fell along party lines, the Securities and Exchange Commission (SEC…
Global Regulation Tomorrow
US Regulatory Intelligence update – SEC Un-Delegates Enforcement Authority
By Jeff Ziesman
In a final rule, the SEC amended regulations to eliminate the Director of the Division of Enforcement's authority to issue formal orders of investigation. The full update can be found…
Global Financial Regulatory Blog
FCA and PRA Announce Intention to Drop Reform Proposals
The regulators have said they will not pursue their proposals on announcing enforcement investigations and on D&I. By Rob Moulton, Nicola Higgs, Becky Critchley, Anna James, and Charlotte Collins On 12 March 2025,…
Consumer Finance Monitor
CFPB inaction harming state consumer protection efforts, Democratic AGs allege in amicus brief
The Trump Administration’s efforts to “effectively shutter the CFPB” amounts to a “total dereliction of all mandatory statutory duties,” that will harm state consumer protection efforts, Democratic state attorneys general…
Investment Management Regulatory Update
All Power Now Rests in the Commission… It is Good to Be King
By Ernie Badway
The United States Securities and Exchange Commission - divided along political lines-- sent to the trash heap a 15-year-old policy allowing its Director of Enforcement to approve new investigations as…
Consumer Finance Monitor
Ballard Spahr launches State Attorneys General Consumer Response Team to respond to state issues
State attorneys general are not waiting to see what the future holds for the CFPB. With federal oversight receding, states are stepping up enforcement activities and strengthening their consumer protection…