Topic
Enforcement
988 published works
Global Regulation Tomorrow
ESMA reports on sanctions and penalties
On 8 July 2022, the European Securities and Markets Authority (ESMA) published the following reports: Sanctions and measures imposed under MiFID II in 2021. The report provides an overview of…
The CLS Blue Sky Blog
FTI Law Discusses Accountability at the SEC Enforcement Division
By John Joy
Whistleblower Frances Haugen recently reported Facebook to the U.S. Securities and Exchange Commission (SEC) for allegedly fraudulent statements Facebook made to investors. Millions of people all over the world tuned…
Consumer Financial Services Law Monitor
CDIA’s Annual Law and Industry Conference
CDIA’s Annual Law and Industry Conference Webinar: Driving Change: Litigation & Enforcement Developments in the Consumer Reporting Industry Troutman Pepper attorney David N. Anthony joined forces with Eric Ellman, Senior…
Privacy & Information Security Law Blog
CNIL Unveils 2021 Annual Activity Report
The French Data Protection Authority recently published its Annual Activity Report for 2021.
Regulatory Oversight
CFPB Issues Interpretive Rule Bolstering Enforcement Efforts by States
By Stefanie Jackman, Chris Willis
On May 19, the Consumer Financial Protection Bureau (CFPB or Bureau) issued an interpretive rule, describing states' authorities to pursue companies and individuals that allegedly violate any of the federal…
Technology Law Dispatch
ICO enforcement actions in Q1 2022
By Angelika Christoforou, Asélle Ibraimova
In Q1 2022, the UK’s Information Commissioner’s Office (ICO) issued 26 enforcement actions. There were 15 monetary penalties issued, ranging between £2k - £200k, and 11 enforcement notices. The majority…
The CLS Blue Sky Blog
Sullivan & Cromwell Discusses Recent Rulings’ Effects on SEC Use of Administrative Forum
Two cases—one recently accepted for review by the Supreme Court, and another recently decided by the Court of Appeals for the Fifth Circuit—could change the manner in which the SEC…
Corporate Defense and Disputes
Fifth Circuit Holds SEC’s In-House Courts and Judges Unconstitutional
By Joshua M. Newville, Julia Alonzo
In Jarkesy v. Securities and Exchange Commission, the Court of Appeals for the Fifth Circuit issued a remarkable opinion holding numerous aspects of the SEC’s administrative enforcement regime are unconstitutional. …
The Right Coast
SEC Use of In-House Judge Violates Defendant Rights, Appeals Court Says – The New York Times
A divided federal appeals court panel on Wednesday threw a wrinkle into how the Securities and Exchange Commission prosecutes some enforcement actions by declaring that its administrative proceedings can violate…
Lawels Blog
Conference: EU Competition Law Enforcement: Challenges to Be Overcome
By Lawels
The international conference entitled “EU Competition Law Enforcement: Challenges to Be Overcome”, organised by CARS and Bocconi University will be organized on 26-27 May 2022. The conference addresses the most…