US:

• Securities Act of 1933, 15 USC § 77x, Penalties
• Securities Exchange Act of 1934
  • 15 USC § 78u-1, Civil penalties for insider trading
  • 15 USC § 77ff, Penalties, Willful violations, Violations by issuers
• Department of Justice
  • Justice Manual 1-12.000 Coordination of Parallel Criminal, Civil, Regulatory, and Administrative Proceedings
  • Justice Manual, 9-7.000 Electronic Surveillance
  • Justice Manual 9-13.000 Obtaining Evidence
  • Justice Manual 9-28.000 Principles of Federal Prosecution of Business Organizations
  • Securities & Exchange Commission, Report of Investigation Pursuant to Section 21(a) of the Securities Exchange Act of 1934 and Commission Statement on the Relationship of Cooperation to Agency Enforcement Decisions (Seaboard Report), Exchange Act Release No. 44969 (Oct. 23, 2001)

UK:

• Criminal Justice Act 1993, c. 36, § 61, Penalties and prosecution
• Regulation (EU) No 596/2014, as retained in the UK by the Market Abuse (Amendment) (EU Exit) Regulations 2019/310, Arts. 30-31, Administrative sanctions and other administrative measures, Exercise of supervisory powers and imposition of sanctions
• Financial Services and Markets Act 2000 (FSMA) c. 8, §§ 165-172, Information Gathering and Investigations
• FSMA c. 8, Part 4A, §§ 55J-55P, Permission to carry on regulated activities
• Regulation of Investigatory Powers Act 2000
• Financial Conduct Authority
  • Enforcement Guide
  • Decision Procedure and Penalties Manual, DEPP 6, Penalties
  • Enforcement annual performance report (2017/2018)
  • FCA Mission:  Our approach to enforcement