Fri, Oct 5, 2018

Global Enforcement Review 2018 - Appendix

  1. 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 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)
  2. Regulatory category descriptions
    • 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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