Topic
Enforcement
988 published works
Plane-ly Spoken
Enforcement vs. Compliance: The Debate Rages On!
Since its inception, the FAA has been primarily concerned with ensuring that the National Airspace System is the safest in the world. While everyone agrees with that goal, not everyone…
Consumer Finance Monitor
Republicans take control of FTC
With the swearing in of four of the five newly-confirmed FTC commissioners, control of the FTC is now in the hands of Republicans. Yesterday, Joseph Simons, a Republican, was sworn…
Inside the False Claims Act
DOJ Memos Outlining Use of Guidance Documents in Enforcement Actions
In an article for Nashville Medical News, Bass, Berry & Sims attorney Taylor Chenery examined two recent Department of Justice (DOJ) memoranda that limit the use of guidance documents in civil…
Law and the Workplace
States’ Attorneys General Throw Shade on USDOL’s “PAID” Program
By Allan Bloom
Last month, we discussed some serious concerns about the efficacy of the U.S. Department of Labor's "PAID" program, under which employers can self-report wage and hour violations to the federal…
Broker- Dealer Law Corner
FINRA’s Stated Paradigm Shift On Enforcement Actions
I have spoken about FINRA possibly putting an end to the policy of pursuing cases where formal disciplinary action serves little to no regulatory purpose. That welcome paradigm shift may…
International Compliance Blog
Criminal Enforcement and Significant Penalties Continue in ‘Big Bank’ AML Cases
The US Department of Justice (DOJ) and federal financial regulators announced major public enforcement actions against two large banks with significant international business dealings in February. These enforcement actions resulted…
Banking, Finance and Securities
FCA sets out its approach to supervision and enforcement
On 21 March 2018, the FCA published documents setting out its approach to supervision and enforcement. The publication of these documents follow the publication by the FCA of its Mission,…
The D&O Diary
Critical Implications of the SEC’s Enforcement Action Against Theranos
Many readers undoubtedly saw the news last week of the enforcement action the SEC filed against Theranos, Inc., its founder, Chairman, and CEO Elizabeth Holmes, and its President and COO…
Global Media and Communications Watch
Russia: Main Takeaways from Roskomnadzor’s Open Doors Day
By Natalia Gulyaeva, Maria Sedykh, Katherine Gasztonyi
Recently, the Russian Data Privacy Authority (Roskomnadzor) organized an Open Doors Day in honor of the International Data Privacy Day. During the occasion, Roskomnadzor officers presented on the authority’s 2017…
NextGen Financial Services Report
Latest PHH v. CFPB Ruling Brings RESPA and CFPB Enforcement Approaches Back in Focus
By Dykema
It has been almost easy to forget that the PHH v. CFPB case started life as an appeal of an enforcement action taken by the Consumer Financial Protection Bureau (CFPB)…