News & Analysis as of

Enforcement Actions Financial Services Industry Government Agencies

Orrick, Herrington & Sutcliffe LLP

CFPB’s Acting Enforcement Director resigns

On June 10, it was reported that the CFPB’s Acting Enforcement Director, Cara Petersen, resigned from her position after 15 years at the Bureau. Petersen’s departure follows the departure of former Enforcement Director, Eric...more

Moore & Van Allen PLLC

The Desk: June Edition

While there was some—albeit limited—Enforcement activity in May (click here for last month’s enforcement actions), in this month’s Round-Up we want to highlight some updates that suggest the Enforcement front may continue to...more

Davies Ward Phillips & Vineberg LLP

A Strong Signal: AMF Adopts a Policy Supporting Self-Reporting and Cooperation

The Autorité des marchés financiers (AMF), the body responsible for enforcing Québec’s legislation concerning the financial sector, recently adopted a Self-Reporting and Cooperation Policy. The policy, adopted on May 20,...more

Troutman Pepper Locke

SEC Reportedly Announces Major Reorganization of Enforcement and Exams Divisions

Troutman Pepper Locke on

The U.S. Securities and Exchange Commission (SEC) has reportedly announced internally a major reorganization of its enforcement and exams divisions. This restructuring, effective April 9, 2025, was detailed in a staff memo...more

Clark Hill PLC

Administrative Law Report - March 2025, Vol. 5

Clark Hill PLC on

Welcome to your monthly rundown of all things administrative law, where we highlight all the happenings you may have missed....more

Bradley Arant Boult Cummings LLP

The False Claims Act in 2024: A Government Enforcement Update

This past year, the False Claims Act (FCA) continued to be a key tool for the Justice Department and whistleblowers to bring suits against companies, including those in the financial services sector. The Justice Department...more

Faegre Drinker Biddle & Reath LLP

New York Department of Financial Services Announces $1.5 Million Settlement of Second Cybersecurity Enforcement Action

On March 3, 2021, the New York State Department of Financial Services (NYDFS) announced a settlement with Residential Mortgage Services, Inc. (RMS) for $1.5 million in connection with its violation of the NYDFS Cybersecurity...more

7 Results
 / 
View per page
Page: of 1

"My best business intelligence, in one easy email…"

Your first step to building a free, personalized, morning email brief covering pertinent authors and topics on JD Supra:
*By using the service, you signify your acceptance of JD Supra's Privacy Policy.
- hide
- hide