2022 capital markets regulatory outlook

Tackling an ambitious regulatory agenda

Where rulemaking has been anticipated, like ESG, and in areas of uncertainty, as with digital assets

Capital markets regulations and compliance

Firms in this sector should expect an active 2022 in terms of rulemaking and proposals. While long-awaited clarity on certain topics should be helpful, it may also result in the need to take significant action. The impacts of emerging regulations will be long term, so firms that engage early may have an advantage. Enforcement is also expected to intensify with significant implications for firms. In 2022, managing the sheer volume of activity will be an important challenge.

2022 Capital Markets Regulatory Outlook

Among the topics presented in our 2022 capital markets regulatory outlook are:

  • Operational change mandates – As firms prepare for CAT readiness exams, they should also be cognizant that the push for accelerating the settlement cycles continues making digital adoption of any remaining paper processes essential.
  • Convergence of tech and the existing regulatory framework – Advances like digital assets and artificial intelligence will collide with the existing regulatory framework in 2022 as agencies get more specific about how their rules apply to these technologies.
  • Changes to market structure – As the SEC embarks on a wholesale review of US market structure, firms should track the resulting recommendations for implications to their investment strategies and/or business model.
  • New and enhanced disclosure requirements – In service to its investor-protection mandate, the SEC will continue to modify its disclosure requirements, including for hedge funds, special purpose acquisition companies (SPACs), and stock buybacks.

2022 capital markets regulatory and compliance insights

Select from the latest Center for Regulatory Strategy releases below to learn more about capital markets regulations and capital markets compliance trends we are monitoring.

After more than two years of pandemic impacts, the world is a different place. It seems as soon as some sense of stability sets in, a new and unforeseen risk emerges. Social and environmental movements have transformed the expectations of corporate responsibility. And digital technologies are rapidly evolving – many of which will be transformative to centuries-old financial systems. In this reality, regulators and the financial services institutions they supervise are racing to keep pace.

2022 Financial Services Regulatory Outlooks Collection 

If you are interested in learning more about the capital markets industry, check out our recently released 2022 capital markets industry outlook here.

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