Topic
Enforcement
987 published works
The Regulatory Roundup
FTC Details "Operation CBDeceit" Enforcement, Consent Orders and Settlements With 6 CBD Brands
By 7996
On December 17, 2020, the Federal Trade Commission (FTC or the Commission) announced that it has taken action against six cannabidiol (CBD) brands for allegedly making a wide range of…
FCPA Professor
A Closer Look At The CFTC’s Enforcement Action Against Vitol
By Mike Koehler
As highlighted in this previous post, in early 2019 the Commodity Futures Trading Commission (CFTC) issued this enforcement advisory concerning companies and individuals “that timely and voluntarily disclose to the Division violations of…
The SEC Institute Blog
Just in Time for Year-End — A COVID-19 Disclosure Enforcement Action
In its first COVID-19 disclosure enforcement case, on December 4, 2020, the SEC announced a settled administrative proceeding against The Cheesecake Factory, Inc. Underlying the case is a March 23,…
PipelineLaw
FERC’s 2020 Annual Report on Enforcement: Key Focus for Pipeline Companies
By Alicia M. Kliner, Myles F. Reynolds
On November 19, 2020, the Federal Energy Regulatory Commission (FERC) Office of Enforcement (Enforcement) issued the 2020 Annual Report on Enforcement (Report). The Report informs the public and the regulated…
Corporate & Securities Law Blog
CFTC’s Enforcement Division Announces Record-Breaking 2020 and Outlines Priorities for 2021
By Sarah Aberg
On December 1, 2020, the Commodities Futures Trading Commission (CFTC) Division of Enforcement published its annual report for Fiscal Year 2020. According to the report, the Division filed a record…
The CLS Blue Sky Blog
Biden and the SEC: Some Possible Agendas
This is the gossip season, and almost everyone has heard a rumor about who will be the next chair of the SEC. Although I was interviewed by the Biden transition…
Broker- Dealer Law Corner
Let’s Hear It For CCOs; After All, They Are Human People
By Alan Wolper, UB Greensfelder
We have frequently blogged here about the degree of attention that regulators pay to Chief Compliance Officers, and whether it is proper that they sometimes are named individually in Enforcement…
Cleary Enforcement Watch
From Government Shutdown to COVID-19: SEC Enforcement Division Releases Final Chapter of Jay Clayton-led SEC
By Robin M. Bergen, Matthew C. Solomon, Alex Janghorbani, Samuel H. Chang, Kal Blassberger
On the eve of the U.S. presidential election last week, the SEC Enforcement Division released its annual report for fiscal year 2020 (the “Report”), providing an overview of the Division’s…
Consumer Financial Services Review
Unpacking the Enforcement Shakeup at the CFPB – A (Former) Insider’s View
By Ori Lev
News broke last week of a major reorganization at the Consumer Financial Protection Bureau (CFPB or Bureau), with headlines focusing on how the shakeup will hamper investigations and limit the…
Privacy Compliance & Data Security
Irish Data Commissioner Discusses Schrems II, Enforcement and Consent
By Odia Kagan
"I worry that we are caught in a DPA (Data Protection Authority) beauty contest of who issues the bigger fine," said Ireland Data Protection Commissioner Helen Dixon in her keynote…