News & Analysis as of

Enforcement Statistics

The Financial Report, Vol. 6, No. 22

by DLA Piper on

Discussion and Analysis - As we draw toward the close of another year, we always like to take a moment to reflect. This is our last issue of 2017, our sixth year of publication. It hardly seems possible it has been that...more

Equal Employment Opportunity Commission Publishes Its Annual Performance Report

by Poyner Spruill LLP on

Earlier this month, the United States Equal Employment Opportunity Commission (“EEOC” or “Commission”) issued its annual Performance and Accountability Report, which highlights the Commission’s enforcement activity over the...more

FERC Enforcement Releases 2017 Annual Report

• On November 16, 2017, the Federal Energy Regulatory Commission released its 11th annual Report on Enforcement, detailing the agency’s Enforcement activities in 2017. • Key highlights are that Enforcement priorities were...more

FERC Ramps Up Investigations Amid Leadership Change

by WilmerHale on

On November 16, 2017, the Office of Enforcement (OE) at the Federal Energy Regulatory Commission (FERC or the Commission) released its annual Report on Enforcement. The report contains data on investigative and enforcement...more

CFTC Enforcement Actions Declined In 2017

by Dorsey & Whitney LLP on

The CFTC announced its enforcement results for fiscal 2017. During the last fiscal year the agency brought 49 enforcement related actions centered on manipulation, spoofing and other charges. ...more

This Week In Securities Litigation

by Dorsey & Whitney LLP on

A new report by Cornerstone Research and the NYU Pollack Center shows a significant drop in the number of SEC enforcement cases in the second half of the last Government fiscal year, attributable to the change in...more

SEC Enforcement: A New Approach – A Year in Statistics

by Dorsey & Whitney LLP on

The SEC reiterated the new retail investor/cyber focus for its Enforcement Division while publishing the statistics for the Division’s work for the last fiscal year. The report attempts to put a group of statistics showing...more

A better view of “A Better View”: What Steward’s speech tells us about the future of FCA investigations

by WilmerHale on

In a speech delivered earlier this year to the AFME European Compliance and Legal Conference1, Mark Steward, Director of Enforcement and Market Oversight for the UK Financial Conduct Authority (“FCA”), addressed the agency’s...more

Anti-Corruption Update: A Global Perspective

by Bryan Cave on

Anticorruption conventions and legislation have global reach and introduce compliance demands on companies to prevent bribery. If your business operates on the global market, there is a risk that your employees or...more

NASAA Issues Report On State Enforcement Actions

by Allen Matkins on

The North American Securities Administrators Association recently released its annual enforcement report. The report is based on a survey of the 50 state members of NASAA. The states report data based on either the calendar...more

DOJ Issues Annual Report To Congress On 2016 ECOA/FHA/SCRA Enforcement Activities

by Ballard Spahr LLP on

The Department of Justice’s Civil Rights Division has issued its annual report to Congress regarding its activities to enforce the ECOA, FHA and SCRA. The report covers 2016 activities that would have taken place under the...more

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

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