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Regulatory Oversight › Exploitation

McCarter & English, LLP

FTC’s “Attention Economy” Workshop Spotlights Tech Platform Practices Affecting Children and Potential Regulatory Implications

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“Just when I thought I was out, they pull me back in.” —Michael Corleone, The Godfather Part III. That iconic line about inescapable forces doesn’t just capture those thoughts of a mob boss trying to retire. It could just...more

The Volkov Law Group

A Deeper Dive into Supply Chain Transparency & Accountability

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The sheer proliferation of supply chain transparency and accountability regulations at international scale itself warrants a closer look at the level of scrutiny required of organizations with complex, multi-faceted, global,...more

Troutman Pepper Locke

Massachusetts AG Announces Creation of New Elder Justice Unit, Appoints Experienced Health Care Prosecutor As Head

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Massachusetts Attorney General (AG) Andrea Joy Campbell announced the creation of a new Elder Justice Unit, which will use existing resources to protect and promote the safety and well-being of elders through enforcement...more

Allen Matkins

Nearly 700 Reports Financial Abuse of Elders/Dependent Adults Received By DFPI

Allen Matkins on

In 2019, I wrote about a then pending proposal, SB 496 (Moorlach), to add broker-dealers and investment advisers to the category of mandated reporters of known or suspected financial abuse of elders or dependent adults. ...more

Ballard Spahr LLP

CFPB to participate in new task force on market integrity and consumer fraud

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The CFPB will be one of the members of the new Task Force on Market Integrity and Consumer Fraud (Task Force) to be established by the U.S. Department of Justice (DOJ).  ...more

Ballard Spahr LLP

DOJ Announces New Task Force on Market Integrity and Consumer Fraud

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The U.S. Department of Justice (DOJ) earlier this week announced that it was disbanding the Financial Fraud Enforcement Task Force, established under the Obama Administration. ...more

Carlton Fields

Two New FINRA Rules For The Protection Of Senior Investors

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The protection of senior investors continues to be a priority for FINRA, from both an examination and enforcement perspective. In fact, FINRA detailed how seniors are one of its major areas of concern in the last three...more

Carlton Fields

Which Thoroughbred Will Win the Standards of Care Derby?

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The NAIC and the State of New York continue racing as each is revising its suitability regulation to incorporate enhanced standards of care. Only time will tell which version will gallop to victory....more

Burr & Forman

FINRA Senior Protection Rules Effective Feb. 5

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A pair of FINRA Rule revisions designed to protect seniors from financial exploitation become effective February 5. The Rules require member firms to obtain “Trusted Contact Person” information and impose short...more

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