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On March 2, 2026, the Financial Industry Regulatory Authority (FINRA) announced a series of enhancements to its enforcement program as part of its broader “FINRA Forward” initiativ...
On May 1, the DFPI announced in its May Monthly Bulletin that it had obtained its first administrative decision affirming a California Consumer Financial Protection Law (CCFPL) act...
On May 1, the DFPI announced in its May Monthly Bulletin that it had obtained its first administrative decision affirming a California Consumer Financial Protection Law (CCFPL) act...
On 24 March 2026, the Financial Conduct Authority issued a Final Notice to Dinosaur Merchant Bank Limited, imposing a financial penalty of £338,000 for failing to detect and report...
The U.S. Commodity Futures Trading Commission (CFTC) is one of the main regulators engaged in the cryptocurrency space. Between the first quarter of 2015 and the third quarter of 2...
The CFTC did not bring any virtual currency enforcement actions in the first three quarters of 2025, after bringing 10 such actions in 2024 and 44 in 2023. This downshift in enforc...
We recently reported that SEC Chairman Paul Atkins had prescribed new procedures for the agency’s Wells submission process: i.e., more time for and more transparency to potential d...
On April 2, 2026, the Federal Trade Commission (FTC) and Maryland Attorney General’s Office announced they had settled a lawsuit brought by the agencies against a dealer group base...
On April 7, 2026, the U.S. Securities and Exchange Commission’s (SEC or the Commission) Division of Enforcement released its results for fiscal year 2025 (October 2024 through Sept...
The Securities and Exchange Commission’s (SEC or Commission) recently released enforcement results for the 2025 fiscal year (Results) reflect the SEC Division of Enforcement’s (Div...
Enforcement Round-Up - New Enforcement Director, Updated Enforcement Priorities, and Forthcoming Self-Reporting and Cooperation Policy Changes - As previewed in last month’s upda...
The UK Competition and Markets Authority (CMA) has taken two steps under the Digital Markets, Competition and Consumers Act 2024 (DMCC Act), marking an escalation in UK consumer en...
The Securities and Exchange Commission rescinded a policy Monday requiring defendants in settled enforcement actions not to publicly deny the SEC's allegations.
For the second time in two years, the FAA has toughened up its enforcement policy for drone operators who violate the Federal Aviation Regulations. Under normal circumstances,...
The Directorate of Enforcement has filed a prosecution complaint against TDI Infrastructure Ltd. and its directors under the Prevention of Money Laundering Act. The company is accu...
Just five actions were started in the first half of fiscal 2026, a new analysis finds
The Commodity Futures Trading Commission (CFTC) Division of Enforcement is zeroing in on core misconduct while signaling a clearer path for self-disclosure and cooperation. Our Whi...
On May 5, 2026, the Massachusetts Division of Banks announced a settlement resolving allegations that a fintech company engaged in third-party loan servicing activity in Massachuse...
Washington regulators cite repeated servicing failures
With higher fine limits now in place, regulators say recent penalties may only reflect the early stages of a stricter regime
On May 19, 2026, the Federal Trade Commission (FTC) began enforcement of the Tools to Address Known Exploitation by Immobilizing Technological Deepfakes on Websites and Networks Ac...
Newly appointed Director of the Division of Enforcement (the Division) of the Commodity Futures Trading Commission (CFTC) David Miller recently announced three key changes in CFTC...
On May 19, 2026, the Federal Trade Commission (FTC) announced that it will begin enforcing the Take It Down Act (TIDA) immediately. TIDA was made law in May 2025 and requires platf...
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