Now in its sixth year, Duff & Phelps’ Global Enforcement Review (GER) 2019 provides insight on recent enforcement trends in the financial services industry. This snapshot report provides a summary of penalty amounts globally.
In compiling this research and analysis, we have drawn on Corlytics’ extensive RiskFusion Global Enforcement database. Corlytics is a world leading provider of regulatory risk intelligence to enable organisations to take a data-driven approach to regulatory resource allocation. The firm prioritizes and selects penalties for inclusion in the database based on the following criteria:
- Enforcement penalties from high priority financial services regulators
- Enforcement penalties greater than US$1 million or equivalent across all selected regulators.
- All enforcement penalties (including those below US$1 million) for financial services firms and associated individuals with assets greater than US$25 billion on the date of the enforcement.
- Enforcement penalties cover enforcement actions against both firms and individuals. For individuals, the US$1 million threshold does not apply, rather the scope includes penalties for those selected firms.
Financial Services Compliance and Regulation
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