Thu, Jul 27, 2017
Global Enforcement Review 2017: Executive Summary
The resolution of benchmark rigging cases is giving the world’s financial regulators space to pursue a widening range of enforcement priorities – and targets.
"Certainly, there’s little sign any of the regulators are planning to scale back their activities: both expenditure and staffing at most of the regulators for whom figures are available have continued to increase in the last year."
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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