Definition
Regulatory Enforcement Action refers to a formal action taken by a regulatory authority to enforce compliance with laws and regulations.
Context
Regulatory Enforcement Actions typically arise from violations of compliance requirements, particularly in areas such as anti-money laundering (AML), corruption, or financial regulation. They may result from audits, investigations, or external reporting.
Meaning
Regulatory Enforcement Actions are key mechanisms for enforcing regulatory standards and may have significant financial, operational, and reputational consequences for organizations.
Example
A financial institution is fined for violating anti-money laundering (AML) regulations.
Suggested citation
wirtschaftsforensik.ch Editorial Team: "Regulatory Enforcement Action", in: Glossary, wirtschaftsforensik.ch, https://wirtschaftsforensik.ch/glossar/regulatory-enforcement-action/, accessed April 18, 2026.