# Enforcement Action

*Regulation & Compliance — Finicade finance glossary*

An enforcement action is a regulator formal proceeding against a firm or individual, usually settled by consent order with a fine and undertakings.

An enforcement action is a regulator's formal proceeding against a firm or individual, usually settled by consent order with a fine and undertakings, often without admitting or denying the findings. That formula is much criticised: it produces headline penalties without establishing facts. Settlements are public documents and are among the most instructive reading available on how compliance actually fails.

**Also known as:** consent order, regulatory fine, cease and desist

**Related terms:** [SEC](https://finicade.com/glossary/sec), [FINRA](https://finicade.com/glossary/finra), [Compliance](https://finicade.com/glossary/compliance), [Whistleblower](https://finicade.com/glossary/whistleblower), [Market Manipulation](https://finicade.com/glossary/market-manipulation)

Source: https://finicade.com/glossary/enforcement-action