News & Analysis as of

Enforcement Guidance

Sanctions Update - Revised Norwegian guidelines on asset freezing

by DLA Piper on

The Norwegian Ministry of Foreign Affairs and the Financial Supervisory Authority published an updated version of the Norwegian guidelines on financial sanctions and asset freezing. As Norway does not have a tradition of...more

Interim Procedures for Providing Early Notice of Civil Judicial Referrals: March 23rd U.S. Environmental Protection Agency...

United States Environmental Protection Agency (“EPA”) Assistant Administrator Susan Parker Bodine circulated a March 23rd memorandum titled: Interim Procedures for Providing Early Notice of Civil Judicial Referrals...more

UK Regulator Proposes Guidance on Obligations to Counter Insider Dealing and Market Manipulation

by Shearman & Sterling LLP on

The Financial Conduct Authority has launched a consultation on adding a proposed chapter on insider dealing and market manipulation to its Financial Crime Guide. The Financial Crime Guide is not part of the FCA's rules but it...more

CFPB Extends Commentary Periods for Three RFIs

by Weiner Brodsky Kider PC on

The CFPB’s Requests for Information (RFIs) regarding Civil Investigative Demands and Associated Processes published on January 26, 2018, required commentary to be received on or before March 27, 2018. That commentary period...more

SEC Offers “Favorable Terms” to Advisers that Self-Report Failure to Disclose Receipt of 12b-1 Fees

On February 12, 2018, the SEC Division of Enforcement announced a new self-reporting initiative – the Share Class Selection Disclosure (the “SCSD Initiative”). The Initiative, led by the Commission’s Asset Management Unit,...more

Arkansas Environmental Federation Water Seminar: Little Rock, Arkansas – April 18th

The Arkansas Environmental Federation (“AEF”) will hold its annual Water Seminar on April 18th. The seminar will be held in Little Rock, Arkansas, at the Holiday Inn – Airport....more

DOJ Memoranda Ushering in New Era for Health Care Enforcement

by Foley & Lardner LLP on

In January 2018, the Department of Justice (DOJ) issued two memoranda that, taken together, may usher in a new era of False Claims Act (FCA) enforcement in the health care industry. The first memorandum, dated January 10,...more

SEC Announces Share Class Selection Disclosure Initiative

by Dechert LLP on

The Division of Enforcement (Division) of the U.S. Securities and Exchange Commission (SEC) on February 12, 2018, announced a Share Class Selection Disclosure Initiative (SCSD Initiative). Led by the Division’s Asset...more

DOJ Issues Guidelines for Enforcement Related to Off-Label Promotion

by Foley & Lardner LLP on

On February 28, 2018, Ethan P. Davis, the Deputy Assistant Attorney General for the Consumer Protection Branch, addressed the life sciences community regarding off-label promotion. In his remarks, Deputy Assistant Attorney...more

Department of Justice Launches New Initiative to Combat Sexual Harassment in the Workplace

by WilmerHale on

On February 28, 2018, the Department of Justice's (DOJ) Civil Rights Division announced a new Sexual Harassment in the Workplace Initiative (SHWI) that will focus on combating workplace sexual harassment in the public sector....more

DOJ to Apply FCPA Corporate Enforcement Policy as "Nonbinding Guidance" to Other Crimes

by Bryan Cave on

DOJ’s Acting Head of the Criminal Division, John Cronan, announced publicly that the FCPA Corporate Enforcement Policy, which is now part of the U.S. Attorney’s Manual and is considered formal guidance for FCPA cases, would...more

Controlled Burn: The Department Of Justice Announces It Will Not Rely On Agency Guidance Documents In Affirmative Civil...

by Dickinson Wright on

On January 25, 2018, Associate Attorney General Brand issued a memorandum titled "Limiting Use of Agency Guidance Documents in Affirmative Civil Enforcement Cases," (the "Brand Memo") which clarified that Department of...more

Is The EEOC’s Background Check Guidance In Jeopardy?

by Akerman LLP - HR Defense on

Employers that have been frustrated with the EEOC’s position on how they can use arrest and conviction records, take note: earlier this month, a federal court in Texas enjoined the EEOC and the Attorney General of the United...more

Goodbye, Guidance? Feds Limit Power Of Agency Guidance Documents - New Justice Department Policy Could Aid Employers Defending...

by Fisher Phillips on

A short policy memorandum quietly issued by the U.S. Department of Justice’s No. 3 official late last month could end up having positive implications for employers defending claims brought by the federal government. The...more

The EEOC Phoenix District Office Challenges Releases Waiving Future Financial Liability for Discrimination Claims

by Littler on

A recent settlement shows that the Equal Employment Opportunity Commission (EEOC) continues, from time to time, to take the position in litigation that an employee’s private release may not waive the employee’s right to...more

Guidance on Guidance: DOJ Limits Use of Agency Guidance Documents in Civil Enforcement Cases

by McDermott Will & Emery on

In a two-page memorandum, the US Department of Justice (DOJ) announced a broad policy statement prohibiting the use of agency guidance documents as the basis for proving legal violations in civil enforcement actions,...more

DOJ/EPA Memos Change Enforcement Policies

by Williams Mullen on

Three memoranda, two issued by the United States Department of Justice (“DOJ”) and one issued by EPA, mark a significant shift in how the federal government approaches civil and criminal enforcement for violations of...more

Antitrust Division to Criminally Prosecute No-Poaching Agreements

by Bryan Cave on

The Antitrust Division of the Department of Justice (“DOJ”) has indicated that, in the coming months, it intends to criminally prosecute companies that have entered into naked no-poaching agreements for violation of the...more

Department of Justice Issues Letter Limiting Use of Agency Guidance in Civil Enforcement Actions

by Shearman & Sterling LLP on

US Associate Attorney General Rachel Brand issued a letter regarding the use of agency guidance, defined in the memo as “any agency statement of general applicability and future effect. . .that is designed to advise parties...more

DOJ Limits the Use of Agencies' Guidance Documents in Civil Enforcement Actions

by Jones Day on

The Department of Justice ("DOJ") recently issued a memorandum limiting the ability of its litigators to use agency guidance documents in civil enforcement actions against private parties. The memo expands on a directive...more

“Brand Memo” Prohibits US DOJ From Converting Agency Guidance Into Binding Legal Obligations In Civil Enforcement Actions

On January 25, 2018, Associate Attorney General Rachel Brand issued a memorandum (the “Brand Memo”) limiting the use of agency guidance documents in affirmative civil enforcement cases. The memorandum builds on Attorney...more

DOJ Issues Memorandum Precluding Reliance on Agency Guidance in Enforcement Cases

by Holland & Knight LLP on

On Jan. 25, 2018, the Associate Attorney General issued a memorandum limiting use of agency guidance documents in affirmative civil enforcement cases brought by the U.S. Department of Justice (DOJ). In a move which could have...more

DOJ Limits Use of Guidance Documents in Affirmative Civil Enforcement Actions

On January 25, 2018, the Associate Attorney General directed the Department of Justice (DOJ) not to rely on agency guidance documents to establish a violation in affirmative civil enforcement (“ACE”) cases. She issued the...more

SEC and CFTC Enforcement Directors Issue Joint Statement Regarding Virtual Currency Enforcement Actions

by Goodwin on

On January 19, 2018, SEC Co-Enforcement Directors Stephanie Avakian and Steven Peikin and CFTC Enforcement Director James McDonald issued the following joint statement regarding virtual currency enforcement actions...more

Presumption of Declination with Voluntary Disclosure, Cooperation, and Remediation of FCPA Violations

Deputy Attorney General Rod J. Rosenstein recently announced a revision to the U.S. Department of Justice (“DOJ”) policy on corporate enforcement of the Foreign Corrupt Practices Act (“FCPA”). The revision codifies a pilot...more

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