Topic
Enforcement
987 published works
The Securities Law Blog
SEC Charges Crowdfunding Portal, Issuer, and Related Individuals for Fraudulent Offerings
The Securities and Exchange Commission today charged three individuals and one issuer with conducting a fraudulent scheme to sell nearly $2 million of unregistered securities through two crowdfunding offerings. The…
China Law Insight
美国政府最近的执法活动
By King & Wood
最近，美国政府对向中国出口实施了两项执法活动。这两项执法活动表明，美国当局正在密切关注着对中国出口的活动。这两项执法行为也表明，针对出口到中国的物品，获取美国各项管制和规定项下的合适归类是至关重要的。
Regulatory Oversight
DOJ Embraces Agency Guidance Documents Again, But What Does It Mean for Regulatory Compliance?
By Timothy McHugh, Siran Faulders
The Department of Justice has loosened restrictions on the use of agency guidance documents to establish violations of underlying legal requirements in enforcement actions and other litigation. According to a…
The CLS Blue Sky Blog
The Impact of SEC Case Backlog on Investigations
By Samuel Bonsall, Eric Holzman, Brian Miller
In recent years, the number of enforcement actions by the Securities and Exchange Commission (SEC) has declined significantly, which has led to questions about the SEC’s effectiveness. While several potential…
SEC Actions
Investment Advisers – A Continuing Focus of Enforcement
Investment advisers have become a key focus of the enforcement division in recent years. For years corporate disclosure and financial cases were the primary focus of the division. Now actions…
Enforcement Highlights
Is SEC “Regulation by Enforcement” for the Digital Asset Industry Next Up?
By Jim Lundy
Cryptocurrencies are one of the fastest growing asset types worldwide. Cryptocurrencies, as an asset class, total over $1.5 trillion in market capitalization. With the rapid growth of this asset type,…
The Securities Law Blog
Sanjay Wadhwa Named Deputy Director of Enforcement Division
The Securities and Exchange Commission today announced the appointment of Sanjay Wadhwa as Deputy Director of the Division of Enforcement. Mr. Wadhwa most recently served as the Senior Associate Director…
Ogletree Deakins Insights
Recognizing the Signs of Ramped-Up MSHA Enforcement
By By Margaret S. Lopez, William K. Doran
One of the first things that comes to mind when a mine operator evaluates the ramifications of having received a citation is how much the resulting civil penalty might be.…
Data Privacy Dish
Darren Abernethy Quoted in IAPP Article, ‘California attorney general offers CCPA enforcement update, launches reporting tool’
GT attorney Darren Abernethy is quoted in IAPP's The Privacy Advisor article, ‘California attorney general offers CCPA enforcement update, launches reporting tool.’ Click here to read the full article.
Privacy Compliance & Data Security
Beware: California Attorney General Is Enforcing CCPA
By Odia Kagan
Have you been leisurely following California Consumer Privacy Act (CCPA) litigation thinking, "That's only for data breaches, not 'soft' violations." Think again. California Attorney General Rob Bonta's office has been…