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Enforcement Actions Consultants

Vinson & Elkins LLP

New CFTC Enforcement Policy Increases Penalties to Deter Recidivists

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The U.S. Commodity Futures Trading Commission (“CFTC” or “Commission”) — the federal agency tasked with regulating the U.S. derivatives markets, which includes futures, swaps and certain kinds of options — has recently taken...more

Braumiller Law Group, PLLC

Hot Topics in International Trade - November 2023 - International Trade Compliance Consultants and The Value Proposition

Maximizing value is crucial when companies contemplate bringing on external support for any organizational function. While a company may consider several value categories, this article explores five primary categories –...more

Wiley Rein LLP

FARA 2021 Year in Review

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The Foreign Agents Registration Act (FARA) continued to make headlines in 2021 as enforcement and modernization of the law remained a U.S. Department of Justice (DOJ) priority. DOJ maintained its focus on enforcement,...more

Latham & Watkins LLP

SEC Charges Adviser for Failing to Monitor Consultants

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The action underscores the need for investment advisers and broker-dealers to maintain robust policies and controls when utilizing third-party contractors. On May 27, 2016, the Securities and Exchange Commission (SEC)...more

Dorsey & Whitney LLP

The DOJ Charges Another Individual With FCPA Violations

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FCPA enforcement officials have repeatedly emphasized that a key focus is individuals who violate the Act. This week the Department of Justice announced the filing of a multi-count indictment against the owner of a privately...more

Goodwin

OCC Issues Guidance on Establishing Standards for Use of Independent Consultants in Connection with Compliance with Enforcement...

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The OCC issued guidance establishing standards that it will use when requiring its supervised entities—national banks, federal savings associations or federal branches or agencies—to employ independent consultants to comply...more

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