In the long wake of the global financial downturn, regulators continue to push for greater transparency, efficiency, and stability in our nation’s securities markets. Top improvement priorities include investor and consumer protection, risk management standards, and preparation for technology/cyber threats.
Deloitte recently published a report that examines nine key regulatory trends for the securities industry in 2016. In some of these areas, the regulatory requirements have been clarified over the past year and companies are now focusing on compliance and refinement. In other areas, regulations are still emerging or evolving and companies are looking for clues to help them prepare. Here are selected highlights:
The regulatory landscape for securities will continue to present significant challenges in 2016, with broker-dealers facing new or modified rules and requirements that could significantly affect how they do business. For more information, please visit Deloitte.com to download the full report.