Forward Look: Top Regulatory Trends for 2014 in Securities


Securities Outlook

The securities regulatory landscape in 2014 will be no less challenging than in the past years. In fact, broker-dealers are now facing even more rules and requirements that could significantly impact their business. And while firms seek clarity from regulators in specific areas, they must continue investing significant time, resources, and effort to comply with a wide range of regulatory requirements. At the same time, regulators are ramping up their compliance, oversight, and enforcement activities, forcing broker-dealers to adapt to an increasingly challenging business and regulatory environment. Explore five regulatory trends likely to impact the securities landscape:

  • Preparing for the consolidated audit trail (CAT)
  • Sustaining ongoing diligence over market access
  • Archiving electronic communications
  • Broker-dealer compliance audits
  • Getting out of the swaps business

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