Topic
Enforcement
988 published works
HL Chronicle of Data Protection
Future-Proofing Privacy: Enforcement and the Risk of Non-Compliance
By HL Chronicle of Data Protection
Part 10 of Future-Proofing Privacy: Enforcement and the Risk of Non-Compliance. One of the major purposes of the Regulation is to ensure a consistent application of data protection law throughout…
Consumer Financial Services Review
Another CFPB Appeal is Heading to the D.C. Circuit
By Ori Lev
The Consumer Financial Protection Bureau (CFPB) has teed up another D.C. Circuit battle regarding the scope of its authority. On Monday, June 13, the CFPB filed a notice of appeal…
Minding Your Business
SEC Issues $26M in Whistleblower Awards Over One-Month Period
In a clear sign of the increased awareness – and effectiveness – of the SEC’s whistleblower program, the SEC awarded five whistleblowers a total of over $26 million for their…
Consumer Financial Services Review
No NORA? No Problem: Federal District Court Strikes Affirmative Defense Based on Absence of NORA Process in CFPB Case
By Ori Lev
Earlier this week, a federal district court ruled that the Consumer Financial Protection Bureau’s (CFPB's) failure to provide an advance notice of suit to a defendant in an enforcement action…
White Collar Briefly
Three Key Challenges To the Future of SEC Enforcement
Since the financial crisis, the Securities and Exchange Commission’s enforcement activity has been the subject of much attention and debate. But depending on the results of pending litigation and agency…
IP Intelligence
DAA Issues Inaugural Enforcement Action for Compliance with Mobile App Guidelines
In a prior post we noted the Digital Advertising Alliance’s (DAA) intention, late last year, to begin enforcement of the Application of Self-Regulatory Principles to the Mobile Environment (Mobile App…
Consumer Finance Monitor
Ninth Circuit rejects Director Cordray’s recess appointment as defense to CFPB enforcement action; dissenting judge disagrees
Since it was filed in a California federal court in July 2012, we have been following CFPB v. Chance Edward Gordon, a case in which the CFPB alleged that an attorney…
Financial Services Observer
SEC Seeks Additional Resources for Examination and Enforcement in FY 2017 Budget Request
By John K. Wells, Aimee Wildstone
The Securities and Exchange Commission (SEC) recently presented the President’s Fiscal Year 2017 budget request for the SEC to Congress. Among the notable requests, the SEC seeks significant additional resources for…
Broker- Dealer Law Corner
FINRA’S Ability To Enforce Securities Act Violations Subject To Compelling Court Challenge
By Alan Wolper, UB Greensfelder
Last week, word spread about a legal challenge that has been mounted in federal court against FINRA’s ability to enforce violations of the Securities Act of 1933, and, perhaps not surprisingly,…
Consumer Finance Monitor
Beating another dead horse: CFPB obtains final judgment against Morgan Drexen
A California federal district court has entered a final judgment in favor of the CFPB in its enforcement action filed in August 2013 against Morgan Drexen, Inc. and its CEO. …