Lessons From an Enforcement Practitioner

Good quality firms support enforcement for all the right reasons but they require reassurance that we are using it against the bad guys. This requires a continual programme of outreach to explain, with regard to completed cases, what went wrong and why we took the approach we did.

"I believe enforcement is important to make sure that good quality firms are not undercut by those who are happy to break the law, to protect consumers and to deliver a form of justice to those undertaking white collar crime whom national law enforcement authorities in many jurisdictions find it difficult to tackle effectively."

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.

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