Social Media Ideas for Enforcement Actions

New Notice in a Nutshell briefing: FCA proposes to fine individual £99,600 for failure to disclose overseas investigatio...

Last month the Financial Conduct Authority (FCA) published a Decision Notice that has been issued to Carlos Ricardo Fuenmayor, the CEO and sole controller of BancTrust Investment B...

ABA and FWA- Enforcement on the Rise

CFTC Enforcement Brings Another Event Contracts Case

FINRA Enforcement Review Calls for Major Reforms

What to Know FINRA published an external review recommending broad changes to its Enforcement program. If adopted, the recommendations would have a significant impact for broker-d...

Defending Against Aggressive Lender Enforcement Actions

Aggressive lender enforcement rarely starts with a lawsuit. It starts with a bank applying your operating balance to the loan, a notice telling your customers to send payments else...

SECP steps up enforcement drive, imposes Rs 4.73 billion in penalties for corporate violations

New Notice in a Nutshell briefing: FCA fines individuals over £100,000 for insider dealing

The Financial Conduct Authority (FCA) recently confirmed that over 75% of its enforcement work focuses on fighting financial crime. In line with this, earlier this year the FCA iss...

DOJ Fraud Division Announces Top Enforcement Priorities

Data-Driven OFAC Enforcement: The Pivotal Role of Recordkeeping and Reporting

The Department of Justice is continuing to modernize and escalate its enforcement efforts, using data intelligence and inter-departmental cooperation.

OFAC Subpoena: Enforcement Risks, Timelines, and Strategic Response Across Industries

Overview and Key Takeaways An Office of Foreign Assets Control (OFAC) subpoena is one of the most serious enforcement tools the U.S. Treasury uses in sanctions investigations. Whil...

SEC initiates admin proceedings against NewAge

Through an order dated September 4th, the SEC has initiated administrative proceedings against NewAge Inc. The stated reason for the SEC’s proceedings is “delinquent filings”. NewA...

CAQM reviews Enforcement Actions, Compliance Status and Sector-specific Inspections across NCR in 138th Meeting of its E...

 CAQM reviews Enforcement Actions, Compliance Status and Sector-specific Inspections across NCR in 138th Meeting of its Enforcement Task ForcePosted On: 01 SEP 2026 3:13PM by PIB D...

Federal Agencies Weigh in on Tobacco Surcharge Enforcement

CIRO imposes over $15 million in sanctions but collects a fraction from barred advisors

Firms paid full penalties while individuals cleared just 18 percent of what panels ordered

FINRA Considers Substantial Changes to Enforcement Program

SECP Cracks Down on Companies, Issues PKR 4.75 Billion in Penalties

The Securities and Exchange Commission of Pakistan (SECP) has imposed PKR 4.75 billion in penalties on companies for violations of the Companies Act and other regulatory requiremen...

California’s DROP Enforcement Phase Is Live

Highlights California’s Delete Act imposes a $200-per-request, per-day penalty, with no fixed aggregate cap in the penalty formula, on data brokers that fail to process deletio...

FTC Secures $16.5 Million Settlements with Celsius Network Co-Founders

The Federal Trade Commission recently announced settlements requiring three co-founders of cryptocurrency platform Celsius Network (Celsius) to pay a total of $16.5 million to reso...

What Every Multinational Should Know About … The New Customs Enforcement Realities (Part III): The Increasing Enforcemen...

Federal agencies give employers enforcement relief on tobacco surcharge timing

Employers running surcharge programs have been in active class action litigation since 2024

Cost of FCA action over illegal finfluencer promotions hits almost £250,000

The combined cost of two operations the Financial Conduct Authority pursued against finfluencers over illegal financial promotions thus far has hit almost £250,000.

Chancery Imposes Contempt Penalties for Non-Compliance with Injunction

SEC Targets Former Tricolor Executives in $1.9 Billion Collapse Case

The SEC’s new fraud case against former executives of subprime auto lender Tricolor stands out as one of the week’s most consequential enforcement developments, even though it was...

Consumer law watchdog issues enforcement actions against two traders in Waterford