Topic
Enforcement
987 published works
Banking, Finance and Securities
HoL Financial Services Regulation Committee publishes oral evidence transcript on FCA enforcement guidance consultation
By Anita Edwards, Simon Lovegrove (UK)
On 18 November 2024, the House of Lords (HoL) Financial Services Regulation Committee published a transcript of oral evidence given on 13 November 2024 by Financial Conduct Authority (FCA) chair…
FCPA Professor
Will There Be An Acceleration Of FCPA Enforcement Prior To January 20th?
By Mike Koehler
Foreign Corrupt Practices Act enforcement has historically been robust as the calendar year ends. Will it be even more robust this year and the first few weeks of January prior…
Administrative and Regulatory
BoE publishes updated procedures for its Enforcement Decision Making Committee
By Anita Edwards, Simon Lovegrove (UK)
On 12 November 2024, the Bank of England (BoE) published an updated procedures document for its Enforcement Decision Making Committee (EDMC). The update follows the publication of the BoE’s policy…
The CLS Blue Sky Blog
SEC Acting Enforcement Chief Speaks on Past Year’s Achievements
Good afternoon. Thank you to Bruce Carton for the invitation to speak today and for the kind introduction. I appreciate the opportunity to be able to talk to you about…
GovCon & Trade
International Trade Enforcement Roundup – October 2024
You are reading the October 2024 Update of the Bass, Berry & Sims Enforcement Roundup, where we bring notable enforcement actions, policy changes, interesting news articles, and a bit of…
The Securities Law Blog
JP Morgan Affiliates to Pay $151 Million to Resolve SEC Enforcement Actions
The Securities and Exchange Commission today charged J.P. Morgan Securities LLC (JPMS) and J.P. Morgan Investment Management Inc. (JPMIM) – both affiliates of JPMorgan Chase & Co. (JP Morgan) –…
Comm Law Center
FCC Enforcement Monitor October 2024
By Scott R. Flick, Elizabeth Craig, Adam J. Sandler
By Scott R. Flick, Elizabeth Craig and Adam J. Sandler Pillsbury’s communications lawyers have published the FCC Enforcement Monitor monthly since 1999 to inform our clients of notable FCC enforcement…
The CLS Blue Sky Blog
Morrison & Foerster Discusses Top Five SEC Enforcement Developments for September 2024
By Haimavathi V. Marlier, Craig D. Martin, Nicole K. Serfoss, Michael D. Birnbaum, Mitchell E. Feldman
Each month, we publish a roundup of the most important SEC enforcement developments. This month included the SEC’s fiscal year end and a large number of enforcement actions of note,…
GovCon & Trade
International Trade Enforcement Roundup – September 2024
You are reading the September 2024 Update of the Bass, Berry & Sims Enforcement Roundup, where we bring notable enforcement actions, policy changes, interesting news articles, and a bit of…
FCPA Professor
Zero Individual FCPA Actions During Grewal’s Tenure
By Mike Koehler
The SEC recently announced that Gurbir Grewal (Director of the Division of Enforcement) will depart the SEC on October 11, 2024. The SEC release touts various enforcement figures during Grewal’s tenure…