News & Analysis as of

Waivers Regulatory Requirements Enforcement Actions

Orrick, Herrington & Sutcliffe LLP

FDIC releases February enforcement actions, terminates 100 waivers

On March 28, the FDIC released a list of administrative enforcement actions taken against banks and individuals last month. During February, the FDIC issued seven safety and soundness orders, including one order terminating a...more

Burr & Forman

Two SEC Commissioners Disagree with Stopping Contingent Settlement Offers

Burr & Forman on

Republican-appointee Commissioners Roisman and Peirce issued a statement on February 12 publicly disagreeing with Acting Chair Lee’s recent fiat discontinuing the Enforcement Division’s practice of proposing settlements that...more

Health Care Compliance Association (HCCA)

[Virtual Event] 2020 COVID-19 Essentials for Healthcare Compliance Programs - July 21st, 11:00 am CT

HCCA has assembled a half-day virtual conference to help compliance professionals stay on top of the fast-moving changes caused by the COVID-19 pandemic. By participating in this event, you will hear directly from the...more

Carlton Fields

SEC Now May Consider a Simultaneous Settlement Offer and Waiver Request

Carlton Fields on

Certain “bad actors” who settle with the SEC may be subject to automatic disqualifications or collateral consequences under federal securities laws and regulations. The Commission, however, may grant a settling party’s...more

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