Topic
Enforcement
988 published works
The Right Coast
Jeff Sessions says if Americans don t want him to enforce marijuana laws, they should change them – MarketWatch
During his Senate confirmation hearing back in January, Sessions answered questions on marijuana among other issues, but didn t offer a definitive stance on what marijuana enforcement would look like…
Global Regulatory Enforcement Law Blog
2017 Expectations of the U.S. CFTC Enforcement Agenda
By Peter Malyshev, Jennifer Achilles, Jill Ottenberg, Michael Selig
The U.S. Commodity Futures Trading Commission is undergoing a transformation with the new Trump administration while staying on course with its statutory mission of protecting US commodities and derivatives markets. …
CommLaw Monitor
FCC Strips Enforcement Bureau of Authority to Settle Commission-Level Actions
By Kelley Drye
The FCC's Enforcement Bureau will no longer have the power to settle monetary enforcement actions originally issued by the Commission under a process reform announced by Chairman Pai on Wednesday. …
Corporate Governance & Internal Investigations Advisor
CFTC Has Banner Year For Enforcement Actions in FY2016
By Joseph E. Schuler, Alyson J. Guyan
The U.S. Commodity Futures Trading Commission (CFTC) recently released its enforcement results for fiscal year 2016. In FY 2016, the CFTC filed 68 enforcement actions and obtained restitution, disgorgement and…
UK Finance Disputes and Regulatory Investigations Blog
FCA and PRA announce changes to enforcement and disciplinary process
On 1 February 2017, the Financial Conduct Authority and the Prudential Regulation Authority released a policy statement that the regulators say is aimed at strengthening the transparency and effectiveness of…
Broker- Dealer Law Corner
Is FINRA Guilty Of Gaslighting Us When Its CEO Says Things Will Be Different?
By Alan Wolper, UB Greensfelder
Since the presidential election, heck, since the campaign, my friends and family will readily attest that my new favorite word is “gaslighting.” According to Wikipedia, it is “is a form…
The D&O Diary
Guest Post: The Nuts & Bolts of SEC Investigations & Enforcement
The SEC is the primary regulatory body charged with the enforcement of the U.S. securities laws. Most insurance and legal professionals are well-aware of the agency and familiar with its…
Global Regulatory Enforcement Law Blog
How CFTC’s Aggressive Enforcement in 2016 Could Mold Compliance Efforts in 2017
By Jennifer Achilles, Jill Ottenberg, Peter Malyshev, Michael Selig
U.S. Commodity Futures Trading Commission (“CFTC”) shook things up in 2016 with new theories and fresh interpretations of the law. Along with this came hefty fines reaching up to $1.2…
Consumer Finance Monitor
State AGs seek to intervene in CFPB enforcement action to modify settlement terms
The Attorneys General for the states of Connecticut, Indiana, Kansas, and Vermont recently took the unusual step of filing a joint motion to intervene to modify the settlement terms of…
Employment & Labor
2016’s Top 5 Most Intriguing Developments In EEOC-Initiated Litigation (And A Preview Of Our Annual EEOC Litigation Report)
By Christopher J. DeGroff, Matthew Gagnon
We are once again pleased to offer our loyal readers our annual analysis of the five most intriguing developments in EEOC litigation in 2016, along with a pre-publication preview of…