Topic
Enforcement
987 published works
Broadcast Law Blog
FCC Issues Report on Nationwide EAS Test And Refers to the Enforcement Bureau Stations That Did Not Submit the Results of the Test – Could Fines Follow?
Almost a year and a half ago, the FCC held its first ever test of the EAS system designed to alert the country in the event of a nationwide emergency. On…
InsureReinsure
UK: PRA Publishes Policy Statement on Its Approach to Decision-Making and Enforcement
On 1 April 2013, the Prudential Regulation Authority (PRA) published a Policy Statement on its decision-making process, and disciplinary and enforcement procedures.
Consumer Finance Monitor
The role of CFPB enforcement attorneys at exams: the picture is getting clearer
Remarks made by Ori Lev, the CFPB's Deputy Enforcement Director for Litigation, at the ABA Consumer Financial Services Committee's spring meeting last week further clarified the role of CFPB enforcement…
Inside Political Law
GAO Report Signals Slow But Steady Increase In Lobbying Disclosure Act Enforcement
The Government Accountability Office this week issued its sixth annual report summarizing the results of its audit of approximately one hundred federal Lobbying Disclosure Act registrants. As we previously explained…
IM Insights
Enforcement Heads Reveal All at SIFMA Annual Seminar
At the 2013 Annual Seminar of SIFMA’s Compliance & Legal Society, members of the securities bar had several helpings of substance to go with their entrees of petit filets and…
Securities Compliance Sentinel
Who Wants To Know About Enhanced FINRA Discipline
By Joshua Horn
A recent study by the Sutherland Asbill law firm revealed that FINRA brought 4% more disciplinary cases in 2012 as compared to 2011. In doing so, FINRA jacked up its…
Securities Law Prof Blog
2011 Survey Shows 51% Increase in FINRA Fines
Sutherland Asbil & Brennan has released the findings of its annual FINRA Sanctions Survey, a review of FINRA disciplinary actions. FINRA filed 1488 disciplinary actions in 2011, up from the…
Corporate & Financial Weekly Digest
Supreme Court Denies SEC Extra Time to Bring Enforcement Actions for Civil Penalties
Co-authored by Tenley Mochizuki. The US Supreme Court recently held that the Securities and Exchange Commission has five years from the date an alleged fraud occurs, not from the date…
Consumer Finance Monitor
OIG to look at presence of CFPB enforcement attorneys in exams
The CFPB's practice of bringing enforcement attorneys to examinations has been a continuing concern for industry. In particular, supervised entities worry that the participation of enforcement attorneys in examinations inhibits…
Securities Compliance Sentinel
A “New” Statute for the Department of Justice
The DOJ has been making increasing and aggressive use of the Financial Institutions Reform Recovery and Enforcement Act ("FIRREA") FIRREA was an outgrowth of the savings and loan crisis in the…