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.