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28 Aug 2018, 3:31 pm
These groups will be Main Enforcement, generalists, who will prosecute and investigate any disciplinary issue; Sales Practice Enforcement, specialists in sales practice investigations and prosecutions; and Market Regulation Enforcement, who will assist the Market Regulation staff in examinations and investigations as well as prosecuting any resulting offenders. [read post]
2 Sep 2013, 12:50 pm
It provides an evidential base consistent with my own feeling about how (in)effective enforcement is, and how widely the not-so-new enforcement tools introduced in 2006 are used (er… they aren’t). [read post]
31 Oct 2022, 7:18 am
Law enforcement agencies are having difficulty recruiting and retaining sworn officers. [read post]
16 Nov 2023, 10:00 pm
The CFTC’s Division of Enforcement filed 96 enforcement actions in 2023 charging a range of violations in a variety of markets that resulted in more than $4.3 billion in civil monetary penalties, restitution, and disgorgement. [read post]
16 Nov 2023, 10:00 pm
The CFTC’s Division of Enforcement filed 96 enforcement actions in 2023 charging a range of violations in a variety of markets that resulted in more than $4.3 billion in civil monetary penalties, restitution, and disgorgement. [read post]
16 Nov 2023, 10:00 pm
The CFTC’s Division of Enforcement filed 96 enforcement actions in 2023 charging a range of violations in a variety of markets that resulted in more than $4.3 billion in civil monetary penalties, restitution, and disgorgement. [read post]
16 Nov 2023, 10:00 pm
The CFTC’s Division of Enforcement filed 96 enforcement actions in 2023 charging a range of violations in a variety of markets that resulted in more than $4.3 billion in civil monetary penalties, restitution, and disgorgement. [read post]
16 Nov 2023, 10:00 pm
The CFTC’s Division of Enforcement filed 96 enforcement actions in 2023 charging a range of violations in a variety of markets that resulted in more than $4.3 billion in civil monetary penalties, restitution, and disgorgement. [read post]
16 Nov 2023, 10:00 pm
The CFTC’s Division of Enforcement filed 96 enforcement actions in 2023 charging a range of violations in a variety of markets that resulted in more than $4.3 billion in civil monetary penalties, restitution, and disgorgement. [read post]
28 Nov 2022, 8:08 pm
What Elements Make an Oral Contract Enforceable? [read post]
19 May 2023, 2:25 pm
On May 18, 2023, during an “Ask FINRA Senior Staff” panel held as part of FINRA’s 2023 Annual Conference, Christopher Kelly, Acting Head of FINRA Enforcement, provided a first look into how FINRA Enforcement intends to address CAT reporting violations as the industry nears the three-year anniversary of the first Phase of CAT go-live and ahead of any published enforcement activity to date. [read post]
6 Feb 2020, 12:00 am
Miguel Sousa Ferro, University of Lisbon Law School describes Antitrust Private Enforcement and the Binding Effect of Public Enforcement Decisions. [read post]
26 Dec 2010, 10:03 am
One of the headlines of a story posted early last January was “Is Enforcement Now, Enforcement Forever... [read post]
14 Mar 2022, 10:00 pm
The NRC recently revised its Enforcement Manual (Manual) to consolidate and expand its guidance on the process for resolving licensee challenges to certain enforcement actions. [read post]
14 Mar 2022, 10:00 pm
The NRC recently revised its Enforcement Manual (Manual) to consolidate and expand its guidance on the process for resolving licensee challenges to certain enforcement actions. [read post]
9 Dec 2019, 9:00 pm
The NRC’s Office of Enforcement (OE) recently issued an enforcement guidance memorandum (EGM) to reinforce the NRC’s Enforcement Policy (Policy) and earlier guidance on identifying and documenting findings and associated violations in inspection reports. [read post]
14 Mar 2022, 10:00 pm
The NRC recently revised its Enforcement Manual (Manual) to consolidate and expand its guidance on the process for resolving licensee challenges to certain enforcement actions. [read post]
14 Mar 2022, 10:00 pm
The NRC recently revised its Enforcement Manual (Manual) to consolidate and expand its guidance on the process for resolving licensee challenges to certain enforcement actions. [read post]
14 Mar 2022, 10:00 pm
The NRC recently revised its Enforcement Manual (Manual) to consolidate and expand its guidance on the process for resolving licensee challenges to certain enforcement actions. [read post]
14 Mar 2022, 10:00 pm
The NRC recently revised its Enforcement Manual (Manual) to consolidate and expand its guidance on the process for resolving licensee challenges to certain enforcement actions. [read post]
