Topic
Enforcement
987 published works
China Law Insight
解读《中国证监会2023年执法情况综述》
By King & Wood
作者：刘凌云 成功 蒋蒙蒙 2024年5月15日，中国证券监督管理委员会（下称“证监会”）发布了《“长牙带刺”“严监严管”证监会持续加大证券期货违法行为打击力度——中国证监会2023年执法情况综述》对2023年执法工作情况进行了全面的总结。在过去的一年中，证监会查办的证券期货违法案件数量、处罚的责任主体数量和罚没金额均同比大幅增长，有力维护资本市场运行秩序，有效保护投资者合法权益，打击证券期货违法行为工作成效持续彰显，“零容忍”打击高压态势不断巩固。 阅读更多
The SEC Institute Blog
Further Relief for Former BF Borgers Clients
In this blog post we discussed an enforcement action against BF Borgers CPA PC and its owner barring them from public company auditing, along with a Statement to help former…
GovCon & Trade
International Trade Enforcement Roundup – April 2024
You are reading the April 2024 Update of the Bass, Berry & Sims Enforcement Roundup, where we bring notable enforcement actions, policy changes, interesting news articles, and a bit of…
Global Regulation Tomorrow
OFSI updates guidance on financial sanctions enforcement and monetary penalties
By Simon Lovegrove (UK), Anita Edwards
On 2 May 2024, HM Treasury updated its guidance on financial sanctions enforcement and monetary penalties. The Office of Financial Sanctions Implementation (OFSI) will now always apply the most recent…
Global Regulation Tomorrow
FCA responds to House of Lords Financial Services Regulation Committee on proposed approach to publicising enforcement decisions
By Katie Stephen (UK), Hannah Meakin (UK), Catherine Pluck (UK), Anita Edwards
On 25 April 2024, the Financial Conduct Authority (FCA) published a letter that it sent to the House of Lords Financial Services Regulation Committee (FSRC) regarding its proposed changes, set…
Wills, Trusts & Estates Prof Blog
Article: Enforcement
Kelvin F.K. Low (National University of Singapore (NUS) - Faculty of Law) recently published, Enforcement, 2024. Provided below is an Abstract: The importance of enforcement to a trust is an…
The CLS Blue Sky Blog
The Big Lessons from the SEC Speaks Conference 2024
By Jonathan H. Hecht, Anne E. Railton, Anna Wittman
The SEC (U.S. Securities and Exchange Commission) recently hosted the 2024 SEC Speaks conference in Washington, DC. During the event, SEC leaders, including the Chair, commissioners, and senior staffers, shared…
FCPA Professor
How Many Enforcement Actions Should Canada Have?
By Mike Koehler
This recent post on the Global Anti-Corruption Blog hints that Canada may be “too nice” in enforcing its FCPA-like law (the Corruption of Foreign Public Officials Act). The post states:…
SEC Actions
PCAOB, Increasing Numbers of Cases and Penalties
The PCAOB has focused on its enforcement program over the years. Nevertheless, the Board is required to maintain its disciplinary proceedings on a non-public basis until they are completed. Cornerstone…
Subject to Inquiry
SEC Speaks 2024: In Defense of Enforcement’s Aggressive Agenda
By E. Andrew Southerling, Louis D. Greenstein, Jackie Wells, Zachary Missan, Cassie Ricci, Rhea Shahane
On April 2 and 3, 2024, U.S. Securities and Exchange Commission Chair Gary Gensler, Division of Enforcement Director Gurbir Grewal and other senior SEC officials convened at the SEC Speaks…