News & Analysis as of

Enforcement Statistics

What does the FCA's Annual Report 2016/17 tell us about enforcement priorities?

by Dentons on

The FCA has been quick to say that it is not going soft, in its Annual Report and Accounts for 2016/17. It is easy to see why it feels the need to make that assurance, in that the FCA imposed a total of 15 fines over that...more

FCPA Digest - July 2017 - Recent Trends and Patterns in the Enforcement of the Foreign Corrupt Practices Act

by Shearman & Sterling LLP on

Shearman & Sterling’s bi-annual Trends & Patterns in FCPA Enforcement report provides insightful analysis of recent enforcement trends and patterns in the US, the UK and elsewhere, as well as helpful guidance on emerging best...more

FCPA: 2017 Mid-Year Review Webinar

by Bryan Cave on

Enforcement of the Foreign Corrupt Practices Act was a high priority for the Department of Justice and the Securities and Exchange Commission in 2016. There's interest in how the new administration could impact enforcement as...more

CFPB Enforcement Continues to Rise in Q1 2017 as Other Federal and State Enforcement Trend Downwards

by Goodwin on

In the first quarter of 2017, Consumer Enforcement Watch tracked 46 enforcement actions taken against consumer financial service providers. This represents a slight decrease from the 50 enforcement actions taken against...more

CFPB Supervisory Highlights Focus on Mortgage Origination, Mortgage Servicing, and Student Loan Servicing

by Goodwin on

On April 26, 2017, the CFPB issued a press release and its latest Supervisory Highlights, which spotlight the CFPB’s recent enforcement efforts in the areas of mortgage loan origination, mortgage loan servicing, and student...more

This Week In Securities Litigation

by Dorsey & Whitney LLP on

Jay Clayton was confirmed by the Senate this week and sworn in as the new SEC Chairman. This gives the agency three Commissioners, although Commissioner Stein’s term ends in June....more

SEC Enforcement Activity Declines In an Era of Uncertainty

by Dorsey & Whitney LLP on

It is axiomatic that markets hate uncertainty. So apparently do market regulators. A report on SEC enforcement activity shows a significant decrease in the number of enforcement actions brought in the first half of fiscal...more

“Made in the USA” Claims

by Bryan Cave on

Although every product imported into the United States must be marked with its country of origin pursuant to Section 304 of the Tariff Act of 1930, most products manufactured domestically are not required to list the United...more

FINRA, A/K/A the Fine Machine

by Fox Rothschild LLP on

According to a recent report of the Eversheds Sutherland firm, 2016 was a banner year for FINRA-assessed fines. FINRA collected a record $176 million in 2016. So what gives? The increase in fines was attributable to two...more

SEC Enforcement: 2016 in Review and Looking Ahead to 2017

by WilmerHale on

Enforcement activity increased again in fiscal year 2016, and the U.S. Securities and Exchange Commission (“SEC”) continued to pursue a broad agenda. Consistent with former Chair Mary Jo White’s “broken windows” enforcement...more

Highlights From the Annual Canadian Securities Administrators' Enforcement Report

by Bennett Jones LLP on

The Canadian Securities Administrators (CSA) released its 2016 Enforcement Report this week. The ninth annual report highlights efforts taken across the country to deter and sanction wrongdoing in capital markets....more

2016 in Review: ERISA Criminal Enforcement Rises, Civil Enforcement Falls

The United States Department of Labor (DOL) recently published its Fiscal Year 2016 “Fact Sheet” documenting the criminal and civil enforcement activities of its Employee Benefits Security Administration (EBSA) under the...more

FCPA: 2016 in Review Webinar

by Bryan Cave on

Enforcement of the Foreign Corrupt Practices Act (FCPA) remained a high priority for the Department of Justice and the Securities and Exchange Commission in 2016, resulting in more than 50 combined enforcement actions, record...more

Global Anti-Bribery Year-in-Review: 2016 Developments and Predictions for 2017

by WilmerHale on

The past year was consequential for FCPA enforcement in numerous respects, including blockbuster penalties, new policy initiatives, and the SEC’s first DPA with an individual for FCPA violations. In April 2016, the DOJ’s...more

CFTC Has Banner Year For Enforcement Actions in FY2016

by Jackson Lewis P.C. on

The U.S. Commodity Futures Trading Commission (CFTC) recently released its enforcement results for fiscal year 2016. In FY 2016, the CFTC filed 68 enforcement actions and obtained restitution, disgorgement and penalty orders...more

EEOC Releases 2016 Enforcement Data: Charges Increase, Downward Trend in Litigation & Monetary Recovery, LGBT Charges Highlighted

by Genova Burns LLC on

Each year, the U.S. Equal Employment Opportunity Commission (EEOC) releases data detailing the charges of workplace discrimination it receives, the number of enforcement suits filed and resolved, and any areas of targeted...more

[Webinar] Top 5 OSHA Issues to Track in 2017 - January 25th, 1:00pm EST

by Conn Maciel Carey LLP on

The ball has dropped, the confetti has been swept out of Times Square, and 2016 (and the Obama Administration) is in the books. It is time to look back at the year and take stock of what we learned from and about OSHA over...more

U.S. Department of Justice Recovered More Than $4.7 Billion From Civil False Claims Act Cases in 2016

by Williams Mullen on

On December 14, 2016 the United States Department of Justice made its annual announcement of the amount of money recovered in civil False Claims Act settlements and judgments in Fiscal Year 2016. ...more

2016 Marks Third Highest Annual False Claims Act Recovery

by Bryan Cave on

Wednesday, the Department of Justice (DOJ) announced that 2016 was its third highest recovery year in False Claims Act (FCA) history. According to the press release, “DOJ obtained more than $4.7 billion in settlements and...more

Key Takeaways from FERC Enforcement’s Energy Trading Compliance and Market Manipulation Law White Papers

As noted in our November 21, 2016, Client Alert, Federal Energy Regulatory Commission (FERC or the “Commission”) Enforcement staff published two white papers—one on energy trading compliance, the other on market manipulation...more

FERC 2016 Report on Enforcement

by PretiFlaherty on

The Federal Energy Regulatory Commission's enforcement program has shown consistency in recent years, according to a presentation by Office of Enforcement staff to the Commissioners. On November 17, 2016, the Commission's...more

FERC Enforcement Office Remains Focused on Market Manipulation and Compliance Programs

by WilmerHale on

This month, the Office of Enforcement (OE) of the Federal Energy Regulatory Commission (FERC) released its tenth Annual Report on Enforcement. The report provides FY2016 statistics on the investigative and enforcement...more

FERC Enforcement Releases 2016 Annual Report

On November 17, 2016, the Federal Energy Regulatory Commission’s (FERC or “Commission”) Office of Enforcement (“Enforcement”) released its annual Report on Enforcement (the “2016 Report”). This year’s report is the 10th such...more

EEOC FY 2016 Performance Report Shows Slight Decrease in Recoveries and Agency’s Struggles with Data

by Jackson Lewis P.C. on

The Equal Employment Opportunity Commission’s Fiscal Year 2016 Performance and Accountability Report (“PAR”) shows a slight decrease in the amount of monetary recoveries by the EEOC in litigation and other enforcement...more

SEC Chair Mary Jo White – FCPA Enforcement Remains a Top Priority in the Increasingly Interconnected Global Marketplace

by Bryan Cave on

On September 21, 2016, Mary Jo White, Chair of the U.S. Securities and Exchange Commission (SEC) spoke at a Legal Practice Division Luncheon at the International Bar Association Annual Conference. She discussed the...more

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