Enforcement

On Wednesday 12 June 2024, as part of our global ESG webinar series, please join us for the third instalment of this webinar series, as we expand on the greenwashing discussion held in the first webinar.

This webinar will feature a discussion from our NRF financial services enforcement team to provide a perspective on greenwashing

On 28 March 2024, the Bank of England (BoE) published a Consultation Paper (CP) on proposed changes to statements of policy and procedure following the Financial Services and Markets Act 2023 (FSMA 2023).

FSMA 2023 introduced several important updates to the UK’s regulatory framework for financial services and certain

On 13 March 2024, the European Parliament issued a press release stating that it had adopted its first reading position on the alternative dispute resolution (ADR) proposal, which allows consumers to, submit complaints against traders to entities offering independent, fast and affordable consumer redress.

Since they were established in 2013, the EU’s rules

On 18 July 2023, the European Securities and Markets Authority (ESMA) published its 2022 reports on the use by Member State competent authorities (NCAs) of sanctions under the UCITS Directive and the Alternative Investment Fund Managers Directive (AIFMD). The reports are drafted pursuant to Article 99e(1) of the UCITS

On 6 July 2023, the Bank of England (BoE) published its latest annual report on the Prescribed Persons (Reports on Disclosures of Information) Regulations 2017.

The BoE, of which the Prudential Regulation Authority (PRA) forms a part, are both Prescribed Persons, as defined by Parliament under the Public Interest Disclosures (Prescribed

In a special edition of our FinTech Pulse podcast series, US partners Stephen Aschettino, Andrew Lom and Kevin Harnisch discuss the recent uptick in regulatory enforcement activity from federal regulators against crypto exchanges, with the SEC issuing a Wells Notice to Coinbase and suing Beaxy, and the CFTC suing Binance and seeking permanent injunctions to

A seemingly straightforward enforcement action by the Commodities Futures Trading Commission (CFTC) has attracted the attention of US regulators, large digital asset industry players and the crypto industry in general for its potential wide-reaching implications for DAO governance.

The CFTC pushed back on various amicus briefs filed by top industry participants in the digital asset

On September 15, 2022, the Department of Justice (DOJ) and the United States Securities and Exchange Commission (SEC) announced that GOL Linhas Aéreas Inteligentes S.A. (GOL), an airline headquartered in São Paulo, Brazil, agreed to pay more than US$150m to resolve parallel investigations by criminal and civil authorities in

Following Deputy AG Lisa Monaco’s remarks at the White Collar Conference last year, the Department of Justice (DOJ) created a Corporate Crime Advisory Group to revise DOJ’s Corporate Criminal Enforcement Policies. On September 15, 2022, Monaco announced the group’s first major round of revisions. The revisions reiterate a focus on individual accountability, voluntary