Wed, Jul 26, 2017

Cleaning House - Global Enforcement Review 2017

Explore Nick's article "Cleaning House" in the Global Enforcement Review 2017.

As it clears its backlog of cases, the SFC is beginning to look ahead to bigger cases and increased action against individuals.

"We’re likely to see increased enforcement activity against individuals. The Manager in Charge (MIC) Regime is now fully in operation, and July sees the deadline for licensed corporations to submit MIC information and management organizational charts to the regulator."

The Global Enforcement Review (GER) provides analysis and commentary on global enforcement trends in the financial services industry. To compile this report, we studied published data released by the UK Financial Conduct Authority (FCA), the U.S. Securities and Exchange Commission (SEC), the U.S. Commodity Futures Trading Commission (CFTC), the U.S. Financial Industry Regulatory Authority (FINRA), and the Securities and Futures Commission (SFC) of Hong Kong in 2016 and recent years. We have also explored the enforcement trends in various offshore jurisdictions.

 



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