Topic
Enforcement
987 published works
The Capital Commitment
SEC Releases FY 2019 Enforcement Results: Increases in Investment Adviser Actions and Maintained Focus on Individual Accountability
By Samuel J. Waldon, Joshua M. Newville, Adam L. Deming
Yesterday the SEC announced its enforcement results for FY 2019, accompanied by a report from the Co-Directors of its Division of Enforcement. While the total number of actions increased slightly…
FCPA Professor
Supreme Court To Hear Another SEC Disgorgement Case
By Mike Koehler
As highlighted in this previous post, in 2017 the Supreme Court unanimously bench slapped the SEC in Kokesh v. SEC and held that disgorgement “in the securities-enforcement context is a ‘penalty’…
Pannone Corporate News and Opinion
Feeling the pinch
Like all public services, the HSE has had to bear its fair share of cuts since 2009/10; indeed it has seen a 46% reduction in central Government funding in that…
International Compliance Blog
World Bank Highlights Continued Enforcement Focus in Second Annual Sanctions System Report
By Lucinda Low, Brigida Benitez, Jessica Piquet Megaw
The World Bank Group (the Bank) published a joint Sanctions System Annual Report for fiscal year 2019 on October 10. This report, which reflects on the Sanctions System's growth since…
FCPA Professor
Friday Roundup
By Mike Koehler
False, lack of context, stay in your lane, and for the reading stack. It’s all here in the Friday roundup. False At times it seems like we live in a…
Consumer Finance Monitor
CFPB issues Spring 2019 semi-annual report; Director Kraninger to appear before House Financial Services Committee on Oct. 16 and Senate Banking Committee on Oct. 17
CFPB recently issued its Spring 2019 Semi-Annual Report to Congress covering the period October 1, 2018 through March 31, 2019. The report represents the CFPB’s second semi-annual report under Director…
Nonprofit Law Prof Blog
GAO Recommends More Active Enforcement of Abusive Schemes Involving Tax Exempt Entities
From the GAO Highlights page of GAO-19-491, entitled "Tax Law Enforcement: IRS Could Better Leverage Existing Data to identify Abusive Schemes Involving Tax-Exempt Entities (September 2019):Why GAO Did This StudyAbusive…
Privacy Compliance & Data Security
Deputy California AG: No Time Like the Present to Work on CCPA Compliance
By Odia Kagan
"It is very important for businesses to start thinking about compliance now. From my perspective, we are getting ready for enforcement in parallel with our rule-making process." — Deputy California Attorney General…
Broker- Dealer Law Corner
“The Opinions Offered Today Are Mine Alone And Do Not Represent The Commission” — A Summary Of Recent Remarks From SEC And CFTC Officials
By Alan Wolper, UB Greensfelder
Selflessly, Blaine Doyle recently attended a presentation here in Chicago by the SEC and CFTC, so you didn't have to do it yourself. Here is his recount of the highlights.…
SEC Actions
This Week In Securities Litigation (Week of Sept. 23, 2019)
A look forward; a look back: How long should the statute of limitations be for the SEC? Since the Supreme Court’s decision in Kokesh it has been five years. Draft…