Regulator Survey
NUIX GLOBAL REGULATOR REPORT
Best practices for financial and competition regulators around the world
The outlook for competition and financial services regulators is constantly evolving. To understand the key shifts, particularly during the COVID-19 pandemic, Nuix engaged Ari Kaplan Advisors to study the best practices for interacting with an array of financial and competition regulators around the world, as well as their preferred technology protocols, primary enforcement strategies, and data sharing preferences.
How do regulators choose which cases to investigate?
.png)
What kind of warning can companies expect if they’re about to be investigated?
What forms of enforcement do regulators use most often?
Who makes best use of advanced technologies such as machine learning?
Whether you’re working for a regulator, a highly regulated corporation, or a legal or advisory firm that gets called in to help, these are critical questions.
We interviewed 31 regulators in 18 countries to find the answers.
ABOUT THE AUTHORS
Ari Kaplan
Ari Kaplan Advisors
Ari Kaplan, an attorney and legal industry analyst, is an inaugural Fastcase 50 honoree, a fellow of the College of Law Practice Management, and a finalist for ILTA’s Thought Leader of the Year award. He is the author of Reinventing Professional Services: Building Your Business in the Digital Marketplace (Wiley, 2011) and The Opportunity Maker: Strategies for Inspiring Your Legal Career Through Creative Networking and Business Development (West Academic, 2nd Ed. 2016). Kaplan serves as the principal researcher for a variety of widely distributed benchmarking reports, hosts the Virtual Lunch daily on Zoom, has been the keynote speaker for events worldwide, and is the founder of the Lawcountability® business development software platform and iPhone app. He is an avid swimmer, a self-taught, struggling, but hopeful, python coder, and a two-time Ironman triathlon finisher.
Stuart Clarke
Director, Private Sector, EMEA
Stuart is an internationally respected investigations & cybersecurity expert who is responsible for the legal, corporate and investigation strategy, and delivery at Nuix. Stuart also has consultancy experience across the areas of digital forensic, cybersecurity, and eDiscovery, and has advised the United Nations’ peak cybersecurity body ITU providing cybersecurity training for over 60 national CERTs. Stuart has extensive business management, consultancy, and leadership expertise, enabling him to develop business strategies and development initiatives on a global basis. Stuart holds a Master’s Degree in Business Administration (MBA) and a Bachelor of Science degree with honors in Computer Forensics. He also holds several professional certifications and has developed material for MSc programs as well as professional text books covering evidence preservation as well as published several industry-recognized white papers.
LEARN MORE
READ THE EXECUTIVE SUMMARY
This three-page summary highlights the key points and figures from our survey.
INTERESTED IN THE DATA?
Check out the 2021 Global Regulator Report Infographic to get the quick low-down on how regulators think and view their industries.
WATCH OUR WEBINAR
Report author Ari Kaplan and guests will hold a webinar in your region to discuss the findings and implications of the survey.