Global Enforcement Review 2014 (Kinetic Partners)

May 2014

KEYWORDS: regulatory reform, regulatory requirements, compliance requirements, regulatory compliance, SEC, Securities and Exchange Commission, FCA, Financial Conduct Authority, SFC, Securities and Futures Commission, Hong Kong, chief compliance officer, United Kingdom, data

Authors:

Julian Korek

Organizations:
  • Kinetic Partners

Summary:

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.

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