Topic
Enforcement
988 published works
Wiley Executive Summary
Letter Asserting that State Government “May” Bring an Enforcement Action if Insured Did Not “Voluntarily” Cease a Particular Activity Is a Claim
Applying New York law, the United States Court of Appeals for the Second Circuit has affirmed a ruling that a letter asserting that a state government “may” bring an enforcement…
Broker- Dealer Law Corner
Highlights from Day One of SIFMA-CL Conference
By Alan Wolper, UB Greensfelder
Opening Session/Firm Culture/CCO Liability. If you are reading this blog, then you, like me, have been probably eagerly waiting for the start of SIFMA’s annual Compliance and Legal conference not…
Workplace Safety and Environmental Law Alert Blog
Report from the ABA OSHA Conference
By Brent I. Clark, James L. Curtis, and Ilana R. Morady We are attending the ABA Occupational Safety and Health Law Meeting this week in Santa Barbara, California. This morning…
Banking, Finance and Securities
CFTC and futures exchange enforcement actions: A year in review (2015)
Market participants must be mindful of the robust enforcement environment at the CFTC and U.S. futures exchanges. In 2015, the CFTC brought numerous enforcement actions and continued to impose aggressive…
Banking, Finance and Securities
SEC Speaks 2016: Enforcement Agenda Goes Beyond Disclosure
At the annual “SEC Speaks” conference held Feb. 19-20, 2016, in Washington, D.C., SEC Chairman Mary Jo White’s opening remarks cautioned that the SEC should not be considered a mere…
Wage & Hour Litigation Blog
One Last Time: President Seeks Huge Increase to WHD Budget, Investigators
Authored by Alex Passantino The President’s FY2017 budget request seeks a nearly $50 million increase in the Wage & Hour Division’s budget. This more than 20% increase would fund, among…
Corporate and Securities Law
House of Representatives Issues Part II of Report Criticizing CFPB’s Auto Lending Enforcement Efforts
By Zane Gilmer
China Law Insight
香港竞争事务委员会的执法及宽待政策
By King & Wood
作者：Neil Carabine, 云匡彦 (Edmund Wan), 贺墨亭 (Martyn Huckerby) 及 James Wilkinson 金杜律师事务所 香港竞争事务委员会刊发了两个关键的政策，列出了其拟如何行使其在《竞争条例》项下的执法权力。在本篇文章中，我们会提供有关竞委会对从事合谋行为之业务实体而设的宽待政策及执法政策的资料。 执法政策 香港竞争事务委员会的执法政策中列出了竞委会执法中优先处理的事项、及其在决定采取相应执法行动时将予考虑的因素。 竞委会不会详细调查其知悉的每一竞争事宜。相反，其将集中资源在其认为对香港的竞争及消费者带来最大整体损害的行为。 全文阅读，请点击此处。
Financial Services Observer
Study Shows Dramatic Rise in the SEC’s Use of its Administrative Court for Enforcement Actions
By John K. Wells, Aimee Wildstone
The NYU Pollack Center for Law and Business and Cornerstone Research recently released a study entitled “SEC Enforcement Activity Against Public Company Defendants,” which analyzed enforcement trends between 2010 and…
The D&O Diary
Report: SEC Filed a Record Number of Enforcement Actions in FY 2015, Aggregate Fines and Penalties Declined
The SEC filed a record number of enforcement actions during FY 2015, but the aggregate value of fines, penalties, and disgorgements the agency collected during the fiscal year was well…