Access critical intelligence on regulatory enforcement activities by American financial services regulators

Wolters Kluwer's groundbreaking data index of penalties issued by financial services regulators provides strategic insights into the aggregate volume and penalty amounts issued to financial services institutions in the United States.

With the index, financial institutions gain access to vital data intelligence, empowering them to better understand emerging compliance risk factors and build more effective compliance and regulatory change management programs.

The Regulatory Violations Intelligence Index examines key violation categories – competition related offenses, consumer protection related offenses and financial offenses - across federal and state regulatory bodies. The time series analysis of enforcement action volumes and penalty amounts provides valuable insight into the shifting supervisory priorities of key regulators of banks, brokerages and insurance services providers.

The inaugural release of the Regulatory Violations Intelligence Index analyzes regulatory enforcement actions between 2018 and 2023. Issued semi-annually, the second release of the index will be August, 2024.

Download the Regulatory Violations Intelligence Index

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