Global Enforcement Review 2017

Explore the Global Enforcement Review 2017.

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.

Global Enforcement Review 2017 2017-07-26T00:00:00.0000000 /insights/publications/compliance-and-regulatory-consulting/global-enforcement-review-2017 publication {DE05ECA4-1852-4BEF-A4E1-491CB497F9CB} {EBC1AB28-1393-493C-AF32-19B3B0B6E171} {1C3CB363-1B9A-40E2-AF19-5C433260F861} {4984481D-079C-4B42-B985-EA34752D3CD5} {E8669D15-7AE5-41D4-BE77-6C5E07C03F38} {78E4B72D-FA95-4F5C-A878-701F6BD7375C} {A3EB1451-9854-4D28-88C7-692EE2C0A78E} {B7CF2537-1DBA-485F-A14F-8BD1524F1A8B}

Related Services

Duff & Phelps Compliance and Regulatory Consulting

Compliance and Regulatory Consulting

By Jurisdiction

Regionally targeted assistance for asset managers in compliance program development, implementation and maintenance

By Jurisdiction
Duff & Phelps Compliance and Regulatory Consulting

Compliance and Regulatory Consulting

U.S. Regulation

Comprehensive support for asset managers registering in the U.S.

U.S. Regulation
Duff & Phelps Compliance and Regulatory Consulting

Compliance and Regulatory Consulting

EU Regulation

Comprehensive compliance and regulatory support for EU firms.

EU Regulation
Duff & Phelps Compliance and Regulatory Consulting

Compliance and Regulatory Consulting

Irish Regulation

Comprehensive support for asset managers registering in Ireland.

Irish Regulation
Duff & Phelps Compliance and Regulatory Consulting

Compliance and Regulatory Consulting

Hong Kong Regulation

Comprehensive SFC licensing support.

Hong Kong Regulation
Duff & Phelps Compliance and Regulatory Consulting

Compliance and Regulatory Consulting

Anti-Money Laundering

Comprehensive AML support for asset managers.

Anti-Money Laundering
Duff & Phelps Disputes

Disputes and Investigations and Legal Management Consulting

Commercial Disputes and Litigation

Industry and technical insights to win disputes related to contractual, fiduciary or related obligations.

Commercial Disputes and Litigation
Duff & Phelps Disputes

Disputes and Investigations and Legal Management Consulting

Securities Litigation

Assistance with complex securities litigation.

Securities Litigation

Insights