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2019 Capital Markets Regulatory Outlook

Navigating the impact of reduced securities regulations

Gain insight into key capital markets regulatory outlook trends and developments that companies should be tracking and addressing in 2019.

Rethink and recalibrate: 2019 capital markets regulatory outlook trends

Compliance modernization helps companies pursue their core mission and achieve compliance as efficiently and effectively as possible by "thinking forward.” Then, they can harness the best available compliance practices and technologies to comply with current and future regulatory requirements. This is an ongoing need driven by never-ending technological advances and market expectations that are constantly rising. No matter how "modern" a company's existing compliance systems and processes might be, there is always room to improve.

This is especially true in an era where changes in political leadership can lead to different areas of regulatory focus. Following the 2018 midterm elections, the Democratic party leadership has indicated that the House Financial Services Committee will broadly focus its legislative agenda toward protecting consumers and investors. In doing so, the committee can preserve financial sector stability and encourage responsible innovation in financial technology.

Meanwhile, we expect that the Republican-controlled Senate Banking Committee will continue to concentrate its legislative agenda on remaining refinements not already addressed in the Economic Growth, Regulatory Relief, and Consumer Protection Act (EGRRCPA) passed in 2018. Beyond the divided Congress, we note that the regulatory agencies are now all led by President Trump appointees who have discretion, subject to Congressional oversight, to calibrate their supervisory policies and programs.

Regardless of what definitive changes lawmakers and regulators might make, banking organizations should continue to drive effectiveness and efficiencies across their risk and compliance programs so they can meet applicable laws, regulations, and supervisory expectations.

Select a topic below to learn more about the capital markets regulations we’re tracking for 2019. We’ll be updating each topic with new thought leadership and content throughout the year, so you can explore trends and insights as they develop.

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This publication is part of the Deloitte Center for Regulatory Strategy Americas’ annual, cross-industry series on the year’s top regulatory trends. To learn more about regulatory challenges and opportunities in other industries, visit the Regulatory Outlooks homepage.

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