Penalties, Enforcement Actions, Transparency

Tougher UK Sanctions Penalties on the Horizon as Consultation is Launched

Proskauer - Regulatory & Compliance on 7/28/2025

On 22 July 2025, the UK’s Office of Financial Sanctions Implementation (“OFSI”) published a consultation paper proposing significant reforms to its civil enforcement processes. The proposals aim to enhance the effectiveness,...more

Turning the SEC Enforcement Results into Opportunity: Historic Penalties Signal a Compliance Shift

Mitratech Holdings, Inc on 12/4/2024

The SEC’s fiscal year 2024 enforcement results signal a pivotal moment for U.S. capital markets. Despite a 26% decline in the total number of enforcement actions compared to 2023 (sitting at a total of 583 for this year), the...more

Compliance with the New York LLC Transparency Act Necessary for Many Mintz Clients

Mintz - Venture Capital & Emerging Companies... on 3/13/2024

Clients with Limited Liability Companies in New York Likely Impacted - New York Governor Kathy Hochul recently signed the New York LLC Transparency Act (NYLTA) into law. The act, which will become effective on December 21,...more

California Passes Landmark Consumer Privacy CCPA—What it Means for Businesses

Akin Gump Strauss Hauer & Feld LLP on 7/9/2018

• California recently passed the landmark California Consumer Privacy Act that goes into effect in 2020, which grants California residents new privacy rights. • The CCPA creates a private right of action for California...more

In Principle: 10 Things Authorised Firms Need to Know for 2018 – The World of Financial Regulation as the UK Prepares to Exit the...

Akin Gump Strauss Hauer & Feld LLP on 1/25/2018

There is much for authorised firms to consider in the year ahead. Firms have been through the intensive period of the enactment of the second Markets in Financial Instruments Directive (MiFID II), but must now step up their...more

CPSC Announces Civil Penalty against Teavana; Commissioners Remain Divided on Civil Penalty Enforcement, Calculations, and...

Mintz - Consumer Product Safety Viewpoints on 5/31/2016

On May 26, 2016 the U.S. Consumer Product Safety Commission (“CPSC”) announced through a Record of Commission Action (“RCA”) that Teavana Corporation (“Teavana”) has agreed to pay a $3.75 million civil penalty to resolve...more

A Compilation of Enforcement and Non-Enforcement Actions

Foley & Lardner LLP on 8/31/2015

Non-Enforcement - Form PF — What Purpose? SEC registered investment advisers with at least $150 million of assets under management in private funds are required to periodically file Form PF with the SEC. The...more

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