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Latest News
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SEC announces enforcement results for fiscal year 2024
The SEC announced that it collected $8.2 billion in monetary penalties for FY 2024, the highest amount for the fines in the regulator’s history.
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CFTC Commissioner Mersinger on cooperation credit and avoiding chasing trends
Mersinger’s remarks revolved around CFTC enforcement and ideas for improvement, especially in the extension of cooperation credit.
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Barclays will pay $4m to settle CFTC charges over swap reporting
Significant cooperation and remediation resulted in a reduced civil fine for the firm.
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Duly Noted: Quotes and quips from a year in enforcement and regulation
Julie DiMauro shares a few of her favorite statements from a truly robust year of regulation and enforcement activity.
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Biotech company avoids DOJ charges after self-reporting payment of bribes
Lifecore Biomedical, Inc.’s efforts in self-reporting FCPA violations lead to declination decision from DOJ.
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CFTC enforcement stance leads regulatory roundup
CFTC updates its enforcement guide, bank regulators update fair lending rules, 48-state settlement over computer error.
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More SEC charges over ‘widespread’ recordkeeping failures
US regulators fined eight companies a combined $111m in the latest actions.
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Assistant AG Kenneth Polite leaves legacy of CCO empowerment, self-reporting, data-driven investigations
Kenneth A Polite, Jr., head of the Justice Department’s Criminal Division, is leaving at the end of July, prompting assessments of his legacy.