2023-03-14-德勤-2023年资本市场监管展望_16页_3mb

The 2023 Capital Markets Regulatory Outlook report highlights a period of intense regulatory change in the US capital markets, driven primarily by the Securities and Exchange Commission (SEC) and other regulators. Key themes include high regulatory churn, renewed enforcement efforts, and emerging regulatory topics. Despite uncertainties and risks from overlapping implementations and legal challenges, firms are urged to proactively address compliance, operational changes, and strategic planning. Digital assets, electronic communications, and electronic recordkeeping are among the areas under heightened scrutiny, with recommendations focusing on governance, technology upgrades, and risk mitigation to navigate the transformative regulatory landscape.