Topic
Enforcement
987 published works
SEC Actions
This Week In Securities Litigation (Week of Dec. 30, 2019)
A look forward – a look back: The new year looms with a host of issues for Chairman Jay Clayton and the other Commissioners. Those range from issues keyed to…
Global Regulation Tomorrow
ESMA issues second annual report on penalties and measures issued under MAR
By Imogen Garner (UK), Iona Wright (UK)
On 12 December 2019, the European Securities and Markets Authority (ESMA) published its second annual report on administrative and criminal sanctions and other administrative measures imposed by Member State competent…
SEC Actions
The CFTC Annual Enforcement Report
The CFTC Division of Enforcement filed its Third Annual Report at the end of November 2019, reviewing the fiscal year (here). The Report is the typical mixture of goals, statistics,…
Health Industry Washington Watch
HHS OIG Report Touts FY 2019 Enforcement and Audit Accomplishments
According to its latest Semiannual Report to Congress, the Office of Inspector General (OIG) of the Department of Health and Human Services (HHS) expects fiscal year (FY) 2019 investigative recoveries…
SEC Actions
This Week In Securities Litigation (Week of Dec. 2, 2019)
A look forward – a look back: Following Thanksgiving, Black Friday and now Cyber Monday the Commission and other agencies return to a full agenda of rulemaking initiatives and enforcement…
Washington Energy Report
FERC Issues 2019 Report on Enforcement
By Miles Kiger
On November 21, 2019, FERC’s Office of Enforcement (“OE”) released its thirteenth annual Report on Enforcement (“Report”) to provide an update about its activities during the last fiscal year (i.e.,…
The D&O Diary
The SEC’s Enforcement Division Reports Elevated Enforcement Action and Monetary Recovery Levels
The SEC’s Enforcement Division had another active enforcement year in fiscal 2019, which ended September 30, 2019, that resulted in substantial recoveries. According to the Division’s latest annual report, the…
Washington Energy Report
FERC Commissioners Respond to Senate Inquiries on FERC’s Enforcement Role
By Tom Marshall, Russell Kooistra
On September 19, 2019, one Independent and four Democratic Senators wrote a letter to FERC which expressed concerns over recent actions taken by FERC and which directed a series of…
Consumer Finance Litigation Bulletin
IF THE SHIELD AGAINST AT-WILL TERMINATION OF THE CFPB’S DIRECTOR IS UNCONSTITUTIONAL, WHAT NEXT?
By eplawecki
IF THE SHIELD AGAINST AT-WILL TERMINATION OF THE CFPB’S DIRECTOR IS UNCONSTITUTIONAL, WHAT NEXT? The U.S. Supreme Court has already agreed to consider in the matter of Seila Law v.…
SEC Actions
This Week In Securities Litigation (Week of Nov. 11, 2019)
Veterans Day On this Monday we pause to thank and salute all service members and veterans for their dedication and hard work. We all owe them a great debt for…