Sun, Oct 7, 2018
Global Enforcement Review 2018
Now in its fifth year, Duff & Phelps’ Global Enforcement Review (GER) 2018 provides commentary and insights on global enforcement trends with a focus on the financial services industry. Combining both our regulatory experience with in-depth analysis of enforcement penalties issued by key regulators around the globe, our aim is to assist firms in understanding the key risks to inform strategic, governance, risk and compliance programs.
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Global Enforcement Review 2018 - Appendix
- Regulators included in the research
- United States
- Alabama State Banking Department (Ala. Banking Reg)
- California Department of Business Oversight (CDBO)
- California Department of Insurance (CDI)
- California Department of Corporations (CDC)
- Consumer Financial Protection Bureau, U.S. (CFPB)
- Commodity Futures Trading Commission (CFTC)
- Kentucky Department of Financial Institutions (DFI)
- Federal Deposit Insurance Corporation (FDI)
- Board of Governors of the Federal Reserve System (FED)
- Fannie Mae and Freddie Mac
- Federal Deposit Insurance Corporation (FDIC)
- Federal Energy Regulatory Commission (FERC)
- Federal Housing Finance Agency (FHFA)
- Financial Industry Regulatory Authority (FINRA)
- Florida Office of Financial Regulation (FLOFR)
- Financial Crimes Enforcement Network (FinCEN)
- Idaho Department of Insurance (IDI)
- State of Illinois Secretary of State Securities Department
- Illinois Department of Financial and Professional Regulation
- Massachusetts Securities Division
- Minnesota Department of Commerce (MDC)
- Missouri Department of Insurance (MDI)
- The National Credit Union Administration (NCUA)
- New York State Banking Department (NYBD)
- New York State Department of Financial Services (NYDFS)
- Office of the Comptroller of the Currency (OCC)
- Public Company Accounting Oversight Board (PCAOB)
- Securities and Exchange Commission (SEC)
- Texas State Securities Board (TSB)
- Division of Securities of the Department of Commerce of the State of Utah
- 20 State Attorneys
- US Department of Justice
- US Department of Labor
- US Department of Housing and Urban Development (HUD)
- United States
- United Kingdom
- Financial Conduct Authority (FCA)
- Financial Reporting Council (FRC)
- Information Commissioner's Office (ICO)
- Prudential Regulation Authority (PRA)
- Serious Fraud Office (SFO)
- Europe (ex UK)
- European Commission (EC) - Europe
- Financial Market Supervisory Authority (FINMA) - Switzerland
- Federal Financial Supervisory Authority (BaFin) - Germany
- Comisión Nacional del Mercado de Valores (CNMV) - Spain
- European Central Bank - European Union
- Autorité de Contrôle Prudentiel et de Résolution (ACPR) - France
- Autorité des marchés financiers (AMF) - France
- Central Bank of Ireland (CBI) - Ireland
- Data Protection Commission (DPC) - Ireland
- Irish Financial Services Regulatory Authority (IFSRA) - Ireland
- Autoriteit Financiële Markten (AFM) - The Netherlands
- De Nederlandsche Bank (DNB) - The Netherlands
- Finansinspektionen (FI) - Sweden
- Commission de Surveillance du Secteur Financie (CSSF) - Luxembourg
- Asia Pacific
- Australian Securities and Investments Commission (ASIC) - Australia
- Australian Transaction Reports and Analysis Centre (AUSTRAC) - Australia
- Securities & Futures Commission (SFC) – Hong Kong
- Monetary Authority of Singapore (MAS) – Singapore
- Canada
- Autorité des marchés financiers (AMFQ)
- Alberta Securities Commission (ASC)
- British Columbia Securities Commission (BCSC)
- Investment Industry Regulatory Organization (IIROC)
- Nova Scotia Securities Commission (NSSC)
- Regulatory category descriptions
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Market conduct
This regulatory theme covers issues related to market integrity, including market manipulation, insider trading, short selling and related violations, disclosures, anti-competitive behaviour, trading errors, breach of takeover rules, illegal activity and misuse of non-public information. - Financial crime
This regulatory theme covers includes risks associated with fraud, money laundering and bribery and corruption, including CDD/KYC, sanctions, and tax evasion. - Conduct of business obligations
This regulatory theme covers issues related to the responsibility to treat customers fairly and to safeguard client assets, including arrears handling, client asset/cash, client data/confidentiality, client orders execution, complaint handling, conflict of interest, customer authorization, disclosures and communications to the client, mis-selling and suitability, overcharging, unfair contracts, unfair treatment. - Regulatory obligations
This regulatory theme covers matters related to the interaction between a regulator and a supervised person or firm, including capital and liquidity, gatekeeper failures, individual misconduct, industry threshold conditions, non-cooperation with the regulator, record keeping, regulatory reporting, unlicensed activity, stakeholder duties, and other regulatory obligations. - Corporate governance and oversight
This regulatory theme covers issues related to senior management, including firm management, stakeholder duties, and corporate governance. - Privacy and cybersecurity
This regulatory theme covers issues related to data protection/privacy, cybersecurity and IT resilience.
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Market conduct