Topic
Enforcement
987 published works
Consumer Finance Monitor
Is the CFPB listening on the issue of enforcement attorneys in examinations?
As my colleague Barbara Mishkin indicated in her post earlier today, the 2012 CFPB Ombudsman's Report, released last week, contains a section that indicates that the CFPB has heard, and…
Focus on Regulation
FDA Suspends Sunland’s Registration; First Use of New Suspension Authority
On November 26, the Food and Drug Administration (FDA) suspended the food facility registration of Sunland, Inc., a producer of nuts, and nut and seed spreads. Notably, this is the…
Corporate & Financial Weekly Digest
FSA Fines Two Firms for Transaction Reporting Failures
By Edward Black
On October 24, the UK Financial Services Authority (FSA) announced that it had fined two firms for failing to provide accurate and timely transaction reports. Plus500UK Limited (Plus500), an online…
Securities Compliance Sentinel
CFTC’s Record Enforcement Year And Record Budget Request
By Amit Shah
The CFTC announced today that it had a record enforcement year. The CFTC filed 102 enforcement actions in its fiscal year ended September 30, 2012, which is up slightly from…
Corporate & Financial Weekly Digest
SEC Targets CEO’s Lockout of Duly Elected Board Members
Co-authored by Dean N. Razavi. A recent Securities and Exchange Commission enforcement action filed in the US District Court for the Middle District of Florida aims to hold a director…
China Law Insight
Shanghai Courts Adopt New Methods to Compel Compliance of Preliminary Injunctions in Intellectual Property Infringement Disputes
By King & Wood
By Denning Jin King & Wood Mallesons’ IP Litigation Group Shanghai Office In June of 2012, the Shanghai No. 1 Intermediate People‘s Court issued several orders against individuals responsible for…
AdLaw By Request®
FTC’s Increasingly Aggressive Role in Enforcement
At a recent speaking engagement at the University of California Berkeley School of Law, David Vladeck, Director of the Federal Trade Commission's Bureau of Consumer Protection, said that the FTC…
Securities Compliance Sentinel
SEC Enforcement Wrap-Up
In regular intervals, SEC Enforcement Director, Robert Khuzami as well as other agency officials, attend conventions and conferences, spouting off about the wonderful progress the SEC and other enforcement agencies have made…
Labor & Employment Law Navigator
OSHA Severe Violator Program Finally Has a Way Out
OSHA's Directorate of Enforcement Programs ("DEP") has determined that employers can get out of the program after three years from the "final disposition" of the inspection items that resulted in…
Securities Compliance Sentinel
Gatekeeper’s Beware. . . the SEC is Still after You
If anyone had forgotten, the SEC is still looking to prosecute compliance officers and legal counsel, who are considered gatekeepers, in aggressive enforcement actions. Although the SEC was unable to effectively delineate…