Global Enforcement Review 2018

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)
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.

Global Enforcement Review 2018 - Appendix

Financial Services Compliance and Regulation

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