Global Enforcement Review 2014

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Drawing on extensive research and our experience of working for and alongside financial services regulators, Kinetic Partners’ global enforcement activity report provides detailed analysis, commentary and insight on enforcement trends at the US Securities and Exchange Commission (SEC), the UK Financial Conduct Authority (FCA), and the Securities & Futures Commission (SFC) of Hong Kong.

As financial services firms look to the future, it is vital that they understand regulatory agendas and priorities in order to prepare and respond effectively. Equally, embedding an organisational culture of compliance is paramount.

Inside the report

Having analysed enforcement data reported by the SEC, FCA and SFC, we compiled observations to assist financial services firms understand:

•  What are the regulators’ primary focus areas and priorities?

•  How does each regulator approach investigations and enforcement?

•  Who are the regulators targeting?

•  How have the regulators and their enforcement procedures evolved in recent years?

•  What are the regulators doing to respond to changes in the market?

For further information about any of the themes discussed in this report, or to learn more about how Kinetic Partners can assist you, please contact Monique Melis, Global Head of Regulatory Consulting, or Nick Matthews, Global Head of Forensics. Alternatively, please contact your relevant country office here.

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Expansion of the regulators

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  • Staff size grew by approximately 36% across the SEC, FCA and SFC since the end of fiscal year 2007
  • Expenditure across all three regulators rose more than 59% over the last seven years
  • Regulators in all jurisdictions are hiring more people and committing more money to specialised personnel and technology