News & Analysis as of

Enforcement Actions Penalties Investigations

McDermott Will & Schulte

Cooperate, protect, and challenge: Responding to dawn raids conducted by EU competition authorities

Dawn raids conducted by antitrust authorities are stressful events. Among other issues, the ensuing investigations consume significant time and effort and often result in high fines for the companies involved. It is therefore...more

The Volkov Law Group

Episode 379 -- Update on False Claims Act and Customs Evasion Liability

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A competitor could trigger a federal investigation against your company, just by filing a whistleblower complaint about your imports. In this episode, Michael Volkov explores how the Trump Administration is reshaping the...more

Foley Hoag LLP - Cannabis and the Law

New York Investigations and Enforcement Actions Ramp Up with OCM and TPB

The New York Office of Cannabis Management (“OCM”) recently took enforcement action against a retailer and manufacturer, resulting in a fine and heightened monitoring for the licensed operators. However, what is most notable...more

The Volkov Law Group

Landmark Ninth Circuit Ruling Expands Application of False Claims Act to Trade Enforcement (Part II of II)

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DOJ’s ability to bring False Claims Act actions against companies for customs fraud was affirmed in a significant Ninth Circuit decision, United States ex rel. Island Industries Inc. v. Sigma Corp., No. 22‑55063, __ F.4th __...more

BCLP

HK Competition Commission’s First Prosecution for Failing to Attend Interview

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In May 2025, for the first time since the enactment of the Competition Ordinance (Cap 619) (“Ordinance”), the Hong Kong Competition Commission (“Commission”) prosecuted a person for failing to attend an interview before the...more

Mintz - Antitrust Viewpoints

DOJ Antitrust Implements Whistleblower Incentive

On July 8, the Antitrust Division of the United States Justice Department (“DOJ Antitrust”) announced a Whistleblowers Rewards Program (“Program”) in partnership with another member of the Procurement Collusion Strike Force,...more

Rivkin Radler LLP

DOJ and HHS Announce FCA Working Group

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On July 2, the U.S. Department of Justice (DOJ) and Department of Health and Human Services (HHS) announced the formation of the DOJ-HHS False Claims Act Working Group to strengthen “their ongoing collaboration to advance...more

Cozen O'Connor

Connecticut Law Aims to Weed Out Illegal Sales of Cannabis and Tobacco Products

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Connecticut AG William Tong has announced the passage of House Bill No. 7181, which will provide new civil and criminal tools and incentives to state regulators and law enforcement to pursue actions against illegal cannabis...more

Whiteford

Client Alert: Department of Justice’s New White Collar Crime Focus

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The Department of Justice’s Focus, Fairness, and Efficiency in the Fight Against White-Collar Crime memorandum released on May 12, 2025, signals a shift in DOJ corporate criminal enforcement. The memorandum signals a shift...more

Ropes & Gray LLP

The FCA Has Revamped its Enforcement Guide – Here’s What You Should Know

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On Tuesday the UK’s Financial Conduct Authority (FCA) issued an updated version of its Enforcement Guide, which will now be referred to as ‘ENFG’ in the FCA Handbook, to distinguish it from the previous version. The ENFG is...more

Osano

5 Privacy Enforcement Trends to Watch Out For in 2025

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Regulations matter, but until they’re enforced, they’re all just so many words (so, so many words) on paper. Businesses know that what really counts is whether, how, where, and when regulators enforce the law....more

Hinch Newman LLP

Will the FTC Under President-Elect Trump Reject Novel Liability Theories?

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President-elect Donald Trump recently announced that Republican Commissioner Andrew Ferguson will chair the Federal Trade Commission during Mr. Trump’s second administration. Commissioner Ferguson is also a known critic of...more

Oberheiden P.C.

EPA Litigation Defense in 2024: Strategies for Companies Facing Civil or Criminal Penalties

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The U.S. Environmental Protection Agency (EPA) is responsible for enforcing the federal laws, regulations, and Executive Orders focused on protecting the environment for the benefit of the American people, threatened and...more

Jones Day

Raids by Asia-Pacific Enforcers Are on the Rise: A Guide to Being Prepared for When the Enforcer Comes Knocking

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The Development: After an interruption during the COVID-19 pandemic, authorities across the Asia-Pacific region have fully revived dawn raids....more

King & Spalding

PCAOB Division of Enforcement’s First Quarter Continues Record-Setting Pace

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The PCAOB’s Division of Enforcement and Investigations’ 2024 first quarter activity continued the blistering pace of enforcement since Erica Williams became the Board’s Chair. While the Board’s first quarter enforcement...more

ArentFox Schiff

Tips For Managing the Response to an FTC Civil Investigative Demand in Privacy and Data Security Cases

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The Federal Trade Commission (FTC) is more active in privacy and data security enforcement actions now than at any time in recent memory. It announces new enforcement actions almost daily, together with press releases, public...more

Health Care Compliance Association (HCCA)

Revised Privacy Rule May Not Emerge for Two Years; Info Blocking Penalty Regulation Published

Report on Patient Privacy Volume 23, no 7 (July 2023) In two public talks this spring, Melanie Fontes Rainer, director of the HHS Office for Civil Rights (OCR), said completing the 2021 proposed regulation extensively...more

Sheppard Mullin Richter & Hampton LLP

OCC and FinCEN Issue $200 Million in Penalties for BSA-AML Violations

On March 17, the OCC and FinCEN issued civil monetary penalties against a federal savings bank for “willfully” failing to meet minimum compliance program requirements and shoddy suspicious transaction reporting. The consent...more

Sheppard Mullin Richter & Hampton LLP

OCC and FinCEN Issue $9 Million in Penalties for BSA-AML Violations

On December 16, 2021, the Office of the Comptroller of the Currency (“OCC”) and the Financial Crimes Enforcement Network (“FinCEN”) issued civil monetary penalties against a Texas community bank for violations of the Bank...more

Akin Gump Strauss Hauer & Feld LLP

[Podcast] The SEC and FCA Annual Reports: Facts, Figures, Trends

In this episode, Akin Gump financial regulatory partner Helen Marshall and white collar defense and government investigations practice co-head Michael Asaro look at SEC and FCA’s annual reports to discuss similarities,...more

Sheppard Mullin Richter & Hampton LLP

SEC Commissioner Calls for a Brave New Approach to Corporate Penalties

During a March 9, 2021 industry conference, one of the four current U.S. Securities and Exchange (“SEC”) commissioners floated a new approach to calculating penalties for corporate misconduct. Caroline A. Crenshaw, who was...more

Orrick - On the Chain

SEC Settles with BCOT on Alleged Violations of the Securities Act

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On December 18, 2019, the Securities and Exchange Commission announced settled charges against blockchain technology company Blockchain of Things Inc. (BCOT) for conducting an unregistered initial coin offering (ICO) of...more

Moore & Van Allen PLLC

Do Not Pass Go: FERC Administrative Proceedings Remain First Stop for Market Manipulation Claims under the Natural Gas Act

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Fraud and energy market manipulation have remained priorities of the Federal Energy Regulatory Commission’s Office of Enforcement (OE) over the past several years. The agency has ramped up its investigative efforts, reporting...more

Davis Wright Tremaine LLP

Dumpster Dives, Investigations and Penalties

What you put in the trash can cost you a fortune. Regulators are increasingly interested in companies’ disposal practices and are initiating investigations and enforcement actions. The “dumpster dives” form the basis of a...more

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