Tag: enforcement_actions
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CFTC Reverses Policy on Settlement Denials in Enforcement Cases
The CFTC has rescinded a policy preventing settlements where defendants deny allegations. This allows the agency to accept "neither admit nor deny" settlements in administrative and civil proceedings, changing its enforcement approach.
Politics and GovernmentBusinessLaw EnforcementFederal GovernmentLegalFinancial MarketsGeneral Politics CFTCSettlementsEnforcement ActionsPolicy RescissionAdministrative LawCivil LawFinancial Regulation
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Federal Reserve Board Issues Enforcement Actions Against Former Bank Employees
The Federal Reserve Board has issued enforcement actions against former employees of Atlantic Union Bank and Frost Bank, as announced by the Board of Governors.
BusinessPolitics and GovernmentLaw EnforcementBankingFederal GovernmentLegal Federal Reserve Boardenforcement actionsAtlantic Union BankFrost BankregulationU.S. Federal Reserve
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TCEQ Agenda Features Extensive Environmental Permit Reviews and Enforcement Actions Across Texas
The TCEQ will review numerous environmental permits for Texas facilities and consider 50 enforcement actions against companies and municipalities for air, water, and waste violations, alongside proposals for new utility districts.
Politics and GovernmentBusinessScience & TechnologyLaw EnforcementState GovernmentsEnvironmentLegalEnergyGeneral Politics TCEQEnvironmental RegulationAir QualityWater QualityPermitsEnforcement ActionsTexas
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OCC Releases May 2026 Enforcement Actions, Citing BSA/AML Failures and Fraud
The OCC announced May 2026 enforcement actions, including a consent order for Community Federal Savings Bank over BSA/AML deficiencies and a prohibition order against a former JP Morgan Chase associate for unauthorized withdrawals. Several previous actions were also terminated.
BusinessPolitics and GovernmentLaw EnforcementFederal GovernmentBankingLegal Office of the Comptroller of the CurrencyEnforcement ActionsFinancial RegulationBank Secrecy ActAnti-Money LaunderingFraudOffice of the Comptroller of the Currency (OCC)
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SEC Commissioner Peirce Issues Statement on Settlements and Enforcement Actions
SEC Commissioner Hester M. Peirce has released a new statement, "Somewhere Between Cacophony and Euphony," discussing settlements and enforcement actions. This new insight into the Commission's regulatory approach is now available on the SEC's newsroom.
BusinessPolitics and GovernmentFederal GovernmentFinancial MarketsLegal Hester M. PeirceSECSecurities and Exchange CommissionSettlementsEnforcement ActionsRegulatorySpeeches and Statements
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SEC Rescinds Policy on Enforcement Action Settlements
The Securities and Exchange Commission has rescinded a policy, Rule 202.5(e), which governed the denial of settlements in enforcement actions where sanctions were imposed. This move alters the SEC's approach to resolving such cases.
BusinessPolitics and GovernmentLaw EnforcementFederal GovernmentLegalFinancial Markets Securities and Exchange CommissionSECEnforcement ActionsSettlementsPolicy ChangeRule 202.5(e)Government
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TCEQ Agenda: Permits, Penalties, and Public Input on Texas Environmental Issues
TCEQ's June 3 meeting will cover permit renewals for a pet crematory and refineries, new wastewater and industrial permits, creation of utility districts, and numerous enforcement actions for environmental violations across Texas.
Politics and GovernmentBusinessLaw EnforcementState GovernmentsEnvironmentLegalEnergy Texas Commission on Environmental QualityEnvironmental PermitsAir QualityWater QualityEnforcement ActionsTexasUtility Districts
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Federal Reserve Terminates Enforcement Actions Against UBS and Credit Suisse
The Federal Reserve Board has ended enforcement actions against UBS Group AG, Credit Suisse AG, and their U.S. entities. This decision concludes regulatory oversight, signaling compliance by the major global banks.
BusinessPolitics and GovernmentBankingFederal GovernmentLegal Federal Reserve BoardUBS Group AGCredit Suisse AGEnforcement ActionsFinancial ServicesRegulationU.S. Federal Reserve
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Federal Reserve Ends Enforcement Actions Against F & M Holding and Thread Bancorp
The Federal Reserve Board has terminated enforcement actions against F & M Holding Company, Inc. and Thread Bancorp, Inc., concluding regulatory oversight for both financial holding companies.
BusinessPolitics and GovernmentUSA Federal Reserve BoardF & M Holding CompanyThread BancorpEnforcement ActionsBanking & FinanceGovernmentU.S. Federal Reserve