Regulatory Enforcement: SEC, FCA And SFC

Abusive market activity will continue to be a focus area for regulators globally, notes Kinetic Partners, after analyzing regulatory enforcement trends at the SEC, FCA and SFC. Kinetic Partners published a report titled “Global Enforcement Review- 2014” after analyzing the regulatory enforcement trends at the U.S. Securities and Exchange Commission (SEC), the UK Financial Conduct Authority (FCA) and the Securities & Futures Commission of Hong Kong (SFC). For this exercise, the team studied published data released by the SEC, FCA and SFC between 2008 and 2013. Market abuse – a high focus area The Kinetic Partners’ report highlights that market…