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Financial Institutions › Financial Services Industry › Enforcement Guidance

A&O Shearman

UK FCA issues updated Enforcement Information Guide

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The UK Financial Conduct Authority published an updated Enforcement Information Guide, which reflects changes in the FCA Handbook to its revised Enforcement Guide (ENFG) and the Decision Procedure and Penalties manual (DEPP)....more

K&L Gates LLP

Key Takeaways From the UK Financial Conduct Authority's Revised Enforcement Guide

K&L Gates LLP on

Following a two-part consultation, which began in February 2024 (i.e., CP 24/2 and CP 24/2: Part 2) and was accompanied by a Policy Statement (PS25/5) setting out the UK Financial Conduct Authority’s (FCA) consultation...more

Latham & Watkins LLP

FCA Consults on Plans to Announce Enforcement Investigations

Latham & Watkins LLP on

The FCA plans to streamline its approach to enforcement and publicise investigations at an early stage. On 27 February 2024, the FCA published a Consultation Paper (CP24/2) on its proposed new approach to publicising...more

Ballard Spahr LLP

CFPB planning significant staff increases; number of full-time enforcement attorneys to increase by 50%

Ballard Spahr LLP on

American Banker recently reported that the CFPB is planning to substantially increase the size of its staff, particularly its Enforcement Division staff....more

Orrick, Herrington & Sutcliffe LLP

CFPB says exam manual and general supervisory findings are nonbinding

Orrick, Herrington & Sutcliffe LLP on

On January 9, the CFPB released a blog post, What new supervised institutions need to know about working with the CFPB, discussing what institutions can expect from a supervisory relationship with the Bureau. ...more

Seward & Kissel LLP

FDIC Adopts Rule Prohibiting Misleading Statements About FDIC Insurance that Impacts a Broad Range of Deposit Placement...

Seward & Kissel LLP on

Introduction - On May 17, 2022, the Board of Directors of the Federal Deposit Insurance Corporation (“FDIC”) adopted a final rule (“Rule”) setting forth its procedures for investigating and enforcing false advertising,...more

Goodwin

Financial Services Weekly Roundup: The CFPB Digs Into “Seasoned” Qualified Mortgages

Goodwin on

In the News. The Consumer Financial Protection Bureau (CFPB) issued a notice of proposed rulemaking to create a new category of “seasoned” qualified mortgages; the Securities and Exchange Commission’s (SEC) Office of...more

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