News & Analysis as of

New Guidance Enforcement Actions Penalties

A&O Shearman

HMT consults on reforms to OFSI civil enforcement processes

A&O Shearman on

HM Treasury (HMT) has published a consultation paper on proposed reforms to the Office of Financial Sanctions Implementation's (OFSI) civil enforcement processes. The aim is to improve the efficiency, transparency and...more

Jenner & Block

Recent OSHA Activity Provides Additional Mitigation Opportunities to Employers

Jenner & Block on

Recent actions by the Occupational Safety and Health Administration may provide employers additional opportunities for penalty and enforcement relief. On July 14, 2025, the U.S. Department of Labor updated OSHA penalty...more

Blake, Cassels & Graydon LLP

New Guidance From Ontario’s Information and Privacy Commissioner on Privacy Management for Small Healthcare Organizations

Ontario’s Information and Privacy Commissioner (IPC) has released a new Privacy Management Handbook (Handbook) aimed at assisting small healthcare organizations to meet their privacy obligations under Ontario’s health...more

Ropes & Gray LLP

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

Ropes & Gray LLP on

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

Parker Poe Adams & Bernstein LLP

Department of Transportation English Proficiency Guidance Takes Effect in Late June

Last month, President Donald Trump signed an executive order directing the Department of Transportation’s Federal Motor Carrier Safety Administration (FMCSA) to begin enforcement of English language proficiency (ELP)...more

Saiber LLC

NJ DOL Proposes New Rules Clarifying the ABC Test for Independent Contractors

Saiber LLC on

The New Jersey Department of Labor and Workforce Development (NJDOL) recently issued proposed regulations aimed at clarifying how employers should apply the “ABC test” to determine whether a worker is properly classified as...more

Morrison & Foerster LLP

CFTC Advisory Outlines Materiality Criteria for Enforcement Referrals

On April 17, 2025, three operating divisions (the “Operating Divisions”) of the U.S. Commodity Futures Trading Commission (“CFTC”) and the Division of Enforcement (“DOE”) provided guidance in CFTC Letter 25-13 (the...more

Morrison & Foerster LLP

UK Serious Fraud Office Issues New Guidance on Corporate Cooperation and Enforcement

On 24 April 2025, the UK’s Serious Fraud Office (SFO) published new guidance for companies on cooperation and enforcement in relation to corporate criminal offending (Guidance). The Guidance outlines the SFO’s key...more

Dacheng

China Monthly Antitrust Update: April 2025

Dacheng on

This monthly report outlines key developments in China’s antitrust sector for April. The following events merit special attention...more

Ogletree, Deakins, Nash, Smoak & Stewart,...

CFTC Unveils Replacement Penalty Mitigation Policy Focused on Self-Reporting, Cooperation, and Remediation

The Commodity Futures Trading Commission (CFTC), an independent U.S. government agency that regulates the U.S. derivatives markets, including futures, options, and swaps, has announced a new policy for mitigating potential...more

Baker Botts L.L.P.

CFTC Issues Enforcement Advisory Adopting New Approach for Consideration of Self-Reporting, Cooperation, and Remediation

Baker Botts L.L.P. on

On February 25th, the Commodity Futures Trading Commission (CFTC or Commission) adopted a new approach for how the Division of Enforcement (Division) will assess self-reporting, cooperation, and remediation efforts when...more

Bowditch & Dewey

Corporate Transparency Act – Yes, it’s Back, but no Fines or Penalties for Now

Bowditch & Dewey on

On February 27, 2025, in a move to comply with the Treasury’s commitment to reducing regulatory burdens on businesses, FinCEN announced that it will not impose fines or penalties or take other enforcement actions against any...more

BCLP

The CFTC is Not Your Friend: More Penalties, More Monitors and More Admissions

BCLP on

New guidance from the Commodity Futures Trading Commission[i] may significantly change the calculus for firms considering whether to settle an enforcement action. Requiring admission of wrongdoing in a greater number of...more

Mitchell, Williams, Selig, Gates & Woodyard,...

OSHA Announces New Enforcement Guidance: Application of Instance-By-Instance Penalty Adjustments

OSHA Announces New Enforcement Guidance: Application of Instance-By-Instance Penalty Adjustments The Occupational Safety and Health Administration (“OSHA’) announced in a January 26th news release new guidance for Regional...more

BakerHostetler

CFIUS Issues Long-Awaited Enforcement and Penalty Guidelines

BakerHostetler on

The U.S. Department of the Treasury on October 20, 2022, issued its first-ever Committee on Foreign Investment in the United States (CFIUS) Enforcement and Penalty Guidelines. Publishing of the Guidelines reinforces recent...more

Foley & Lardner LLP

Massachusetts DPH Delays Enforcement Penalties for State Surprise Billing Law

Foley & Lardner LLP on

The Massachusetts Department of Public Health (DPH) has delayed the enforcement penalties for the new notice requirements under the “Patients First Law” until July 1, 2022. This news comes as a relief to the provider...more

White & Case LLP

GDPR Guide to National Implementation - A practical guide to national GDPR compliance requirements across the EEA

White & Case LLP on

Foreword - European data protection laws have made significant strides in the last two decades. Privacy and data protection laws have undergone dramatic changes over the last 20 years, in a race to keep up with technology....more

WilmerHale

Justice Department Establishes New Guidelines on Giving Credit for Disclosure Cooperation and Remediation in False Claims Act...

WilmerHale on

On May 6, 2019, the Justice Department issued new policies establishing how defendants in False Claims Act (FCA) matters can earn credit for voluntary self-disclosure, cooperation, and remediation, possibly reducing what...more

Vedder Price

Investment Services Regulatory Update - February 2018

Vedder Price on

New Rules, Proposed Rules, Guidance and Alerts – SEC STAFF GUIDANCE AND ALERTS - SEC Staff Issues Guidance on Cryptocurrency-related Holdings - On January 18, 2018, the staff of the SEC’s Division of Investment...more

Foley & Lardner LLP

A Compilation of Enforcement and Non-Enforcement Actions

Foley & Lardner LLP on

Non-Enforcement - Remember to Update Your Risk Disclosure on an Ongoing Basis - The staff of the Securities and Exchange Commission (SEC) issued guidance reminding mutual funds, exchange traded funds, and other...more

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