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Government Investigations, Enforcement & Compliance
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Experience
|February 28, 2023
Insights & News 1,744 results
Webinar
|June 11, 2024
The SEC’s Spotlight on Digital Assets
Client Alert
|May 17, 2024
|6 Min Read
A unique entity, the Consumer Financial Protection Bureau (CFPB) has faced court challenges to its policies and structure since its inception. But in recent years, as the CFPB has become more active and, arguably, more aggressive, it has faced increasing legal scrutiny. The swirling legal challenges against the CFPB raise questions for banks and other regulated entities regarding not only how to respond to CFPB’s rulemaking but how quickly they should act to do so. This article addresses the main litigation surrounding credit card late fees and its overlap with the recent Supreme Court case upholding the validity of the Bureau’s funding structure, and in this context provides further insight into the pace at which an entity should respond to this quasi-regulator/quasi-enforcer.
Capital Markets & Securities Law Watch
|May 13, 2024
|5 Min Read
SEC Charges Audit Firm BF Borgers With Fraud
On May 3, 2024, the SEC announced charges against audit firm BF Borgers CPA PC and its owner, Benjamin F. Borgers, of deliberate and systemic failures to comply with PCAOB standards in its audits and reviews incorporated in over 1,500 SEC filings from January 2021 through June 2023, in what the SEC called “one of the largest wholesale failures by gatekeepers in our financial markets.” In this post, we review the SEC’s order and the SEC staff’s statement regarding the disclosure and reporting obligations of impacted issuers.
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Law Glossary
What Is Privacy Compliance Law?
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Law Glossary