Compliance & Ethics

OCC Enforcement Actions for April Zero In on Lending Practices & Accountability

The Office of the Comptroller of the Currency has released its April 2026 enforcement actions, with a consent order against The Federal Savings Bank drawing particular attention for its focus on deceptive lending practices tied to loans for veterans.

JPMorgan Securities Hit With $3.25 Million FINRA Fine Over Supervision Lapses in High-Risk Trading Strategy

JPMorgan Securities has been censured and fined $3.25 million by the Financial Industry Regulatory Authority after regulators found the firm failed to properly oversee a broker who pushed clients into a high-risk, leveraged investment strategy that unraveled during market turmoil.

FERC Orders $1.13 Billion Penalty Against American Efficient Over Decade-Long Energy Market Fraud

The Federal Energy Regulatory Commission (FERC) has issued one of the most significant enforcement actions in its history, ordering American Efficient and its affiliates to pay more than $1.1 billion following what regulators described as a sweeping, years-long fraud in U.S. energy markets.

EBA Sets Out Plan to Cut Reporting Burden in Sweeping Overhaul of EU Banking Framework

The European Banking Authority is moving to reshape how banks report data to supervisors across the European Union, unveiling a wide-ranging proposal aimed at simplifying one of the most complex, and often criticized, areas of regulatory compliance.

Polish Regulator Orders Enter Air to Pay Over $2.3 Million to Passengers After Complaint Handling Failures

Passengers who struggled to get answers, or compensation, from Enter Air may soon see long-awaited payouts after Poland’s consumer protection authority stepped in with a sweeping enforcement decision. The head of Poland's UOKiK ordered the airline to compensate travelers more than $2.3 million (PLN 8.2 million) in total, following an investigation sparked by a wave of complaints about how the carrier handled issues ranging from delayed baggage to flight disruptions.

EU Moves to Open Google’s Search Data as DMA Enforcement Sharpens

In preliminary findings published this week, the European Commission said Google should provide third-party search engines with access to core datasets (ranking, query, click, and view data) on fair, reasonable, and non-discriminatory terms. The goal is straightforward, even if the execution will not be: give competitors the tools they need to challenge Google Search in a market long defined by its dominance.

France Fines Organic Retailers €12.67 Million Over Brand Allocation Pact

France’s competition authority has handed down €12.67 million in fines to a group of organic retail players and their trade association, concluding that they orchestrated a long-running agreement to carve up the market and shield prices from competition.