Topic
Enforcement
988 published works
Banking, Finance and Securities
FCA investigations under SM&CR
The FCA has published its response to a request under the Freedom of Information Act 2000 relating to it carrying out investigations under the senior managers and certification regime (SM&CR).…
Safety Law Matters
Is the Department of Labor reverting to Obama-era media strategies?
By Erik Dullea
by Erik Dullea and Sonia Anderson Department of Labor press releases issued during April suggest that DOL, including OSHA and MSHA, may have returned to the aggressive public relations strategy…
Workplace Law & Strategy
Victorian OHS enforcement: why change the game plan when your team is on top?
By Nick Neil, Seyfarth Shaw LLP
On Friday 24 March, Western Bulldogs kicked off their 2016 premiership defence with a tenacious win against Collingwood. Round 1 of the 2017 AFL season also coincided with the introduction…
Banking, Finance and Securities
FRB issues first Volcker Rule enforcement order and civil penalty
On April 20, 2017, the Federal Reserve Board issued its first Volcker Rule enforcement order and assessed a $19.71 million civil penalty. It was issued against a non-U.S. bank with…
Pensions and Benefits
Oh Mr Regulator, what big teeth you have got!
“All the better to eat you with, my dear.” And so our precautionary tale begins. Chapter 1 – Lost in the woods Once upon a time the Pensions Act 2004…
Broker- Dealer Law Corner
Some Amusing OHO Decisions
As a former member of FINRA Enforcement’s Litigation Department and a current practitioner in FINRA regulatory matters, I have read my fair share of decisions from the Office of Hearing…
OSHA Law Blog
OSHA Staying the Course…for now…
At a recent American Bar Association meeting, Dorothy Dougherty, Acting Assistant Secretary of Labor for OSHA and Tom Galassi, Acting Deputy Assistant Secretary of Labor for OSHA both noted that…
Consumer Finance Monitor
Divided D.C. Circuit panel denies injunction blocking CFPB CID
The D.C. Circuit, in a divided decision, denied a motion for an emergency injunction pending appeal filed by a company seeking to halt all CFPB action adverse to the company,…
Banking, Finance and Securities
FCA Quarterly Consultation No.16
The FCA has published Consultation Paper 17/6: Quarterly Consultation No.16 (CP17/6). In CP17/6 the FCA proposes changes to the: Decision Procedure and Penalties manual and the Enforcement Guide (EG) reflecting…
Broker- Dealer Law Corner
No Surprise Here: Courts Take Constitutional Complaints About SEC Administrative Prosecutions More Seriously Than The SEC
By Ken Berg
This is the first in a series of posts by my partner, Ken Berg, discussing the constitutional defenses to SEC administrative enforcement actions, which we are called upon regularly to…