Topic
Enforcement
987 published works
Food Safety News
FSIS Enforcement Action Results in Sentencing in Three Criminal Cases
By News Desk
A trio of successful prosecutions top the quarterly enforcement report from the USDA's Food Safety and Inspection Service for the period ending June 30th. The April to June period is…
Securities Compliance Sentinel
Changes in SEC Enforcement Function
Adjustments to the SEC’s enforcement function is enabling it to be more aggressive with individuals and corporations when pursuing allegedly violative behavior. The SEC’s ongoing push to strengthen penalties for…
Securities Compliance Sentinel
The SEC Does Not Care About Collateral Impacts With Settlements
In determining whether to seek admissions in the settlement of an enforcement action, the SEC will not take into account any collateral consequences that might befall the defendant in question.…
Food Safety News
Raw Milk Seizure Stirs Debate in Michigan
By News Desk
Michigan farmers and some of their downstate customers are still talking about an enforcement action taken two weeks ago by the Michigan Department of Agriculture. The incident has prompted hundreds…
Washington Energy Report
U.S. Senator Asks DOE’s Inspector General to Review FERC’s Enforcement Office Practices Regarding Investigations
On July 18, 2014, United States Senator Robert Casey (D-PA) sent a letter to the Department of Energy’s Inspector General requesting a review of FERC’s Office of Enforcement’s practices with…
Focus on Regulation
FTC Director Addresses Enforcement Efforts in the Healthcare Sector
By Robert Leibenluft, Leigh Oliver, Caitlin Russo
In an informative speech at the recent Accountable Care Organizations Summit, Federal Trade Commission (FTC) Director of the Bureau of Competition Deborah Feinstein articulated her current thinking on many important…
Securities Compliance Sentinel
GOOD COMPLIANCE PROGRAMS EXALTED
Companies subject to enforcement actions will get more credit from regulators if the alleged misconduct is an exception in a compliance-driven corporate culture rather than a remedial step after discovery.…
Securities Law Prof Blog
Enforcement Division’s Chief Operating Officer Adam Storch to Leave SEC
Details available here.
Administrative and Regulatory
FCA update for smaller firms on its approach to enforcement and supervision
The FCA has published the June 2014 edition of its regulation round-up for smaller firms. This edition focuses on enforcement and includes the following points: the FCA expects all firms…
Global Regulatory Enforcement Law Blog
Message From FINRA Enforcement Chief: “Talk to Me”
By Reed Smith
This post was written by Amy. J. Greer and C. Neil Gray. Earlier this week, J. Bradley Bennett, Executive Vice-President, Enforcement for FINRA, spoke at a gathering hosted by SIFMA’s…