The SEC’s enforcement priorities are no secret, but for a full understanding of them, firms need to know where to look.
"In the coming year, we can expect the SEC to continue to stress the importance of a broad range of issues: conflicts of interest, expense allocations and cyber security."
The Global Enforcement Review (GER) provides analysis and commentary on global enforcement trends in the financial services industry. To compile this report, we studied published data released by the UK Financial Conduct Authority (FCA), the U.S. Securities and Exchange Commission (SEC), the U.S. Commodity Futures Trading Commission (CFTC), the U.S. Financial Industry Regulatory Authority (FINRA), and the Securities and Futures Commission (SFC) of Hong Kong in 2016 and recent years. We have also explored the enforcement trends in various offshore jurisdictions.