Wed, Jul 26, 2017
Global Enforcement Review 2017
Explore the Global Enforcement Review 2017.
It comes at a time when insights into regulators’ thinking are needed more than ever. Many jurisdictions face massive political uncertainty, with the Trump administration in the U.S. and Brexit in the UK holding the potential for big changes in regulatory regimes. Moreover, from Hong Kong’s Securities and Future Commission (SFC)’s focus on nepotism in financial firms to the Financial Industry Regulatory Authority (FINRA)’s action on corruption and money laundering, there is increasing evidence of a stronger alignment between regulator activity and government objectives.
Duff & Phelps’ Global Enforcement Review (GER) 2017, looks beyond just the words, policies and intentions of the world’s financial services regulators. Drawing from data published by the key regulators in the U.S., UK and Hong Kong, as well as commentary and insight from around the globe, this report examines those policies in practice: How they invest, when they act and what they do.
U.S. Compliance Services
Comprehensive support for asset managers registering in the U.S.
European Compliance Services
Comprehensive compliance and regulatory support for EU firms.
Irish Regulation
Kroll is uniquely placed to assist firms in negotiating the regulatory landscape.
Anti-Money Laundering
Kroll’s anti-money laundering (AML) solutions are designed to help minimize the risks associated with money laundering and other illicit activities and to ensure compliance through the development and management of ongoing compliance programs and processes.