Topic
Enforcement
987 published works
Global Regulatory Enforcement Law Blog
Enforcement Action by the FCA is on the Rise
In 2014, there was an increase by 20 percent in open investigations by the UK’s Financial Conduct Authority (FCA). An increase that is speculated to be the result of the…
Banking, Finance and Securities
ASIC enforcement actions Q4 2014: is an increase in penalties on the cards?
ASIC has recently released its quarterly enforcement report detailing enforcement outcomes between 1 July 2014 and 31 December 2014. The report addresses the range of criminal and civil action taken…
OSHA Law Blog
OSHA Requests Budget Increase for FY 2016
The Occupational Safety and Health Administration ("OSHA") requested a 7 percent budget increase for fiscal year 2016, for a total budget of $592.1 million. OSHA's priorities for next year points…
Subject to Inquiry
Consumer Financial Protection Bureau Names New Enforcement Chief
By Jeffrey Brown, Government Investigations Group
The Consumer Financial Protection Bureau announced last week that Tony Alexis, the acting director of enforcement, will become the CFPB’s next director of enforcement. Alexis succeeds Kent Markus, the bureau’s…
Corporate and Securities Law
2014 CFTC Enforcement Report – Another Year of Record Sanctions
Corporate & Financial Weekly Digest
FCA Imposes Industry Ban on Fare Dodger
By Nathaniel Lalone, Neil Robson
On December 15, the UK Financial Conduct Authority (FCA) imposed a financial industry ban on Jonathan Paul Burrows in light of Mr. Burrows' repeated failures to purchase a valid ticket…
Securities Compliance Sentinel
No Admit, No Deny – No Longer?
Admissions by companies in enforcement actions brought by the Securities and Exchange Commission (SEC) can open the floodgates to follow-on private civil litigation. Fortunately, the SEC has traditionally settled with companies on a…
Banking, Finance and Securities
The SEC releases its Agency Financial Report reflecting 2014 accomplishments
On November 17, 2014, the SEC released its 2014 Agency Financial Report (AFR), which provides financial and high-level performance results that allow the President, Congress and the public to understand…
Washington Energy Report
FERC Releases 2014 Report on Enforcement
On November 20, 2014, FERC’s Office of Enforcement (“Enforcement”) released its 2014 Report on Enforcement (“Report”). The Report provided an overview of Enforcement’s activities during 2014, specifically detailing the activities…
Consumer Finance Monitor
A further update on state AG/regulator lawsuits using Dodd-Frank authority
Below is an update on the lawsuits we have been following that state attorneys general and a state regulator have brought using their Dodd-Frank enforcement authority. Under Dodd-Frank Section 1042, a…