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Regulation RISK READY: Banking and Capital Markets


Across industries and issues, the demands of regulators are ever increasing — perhaps none more than those aimed at the financial institutions (FIs) at the center of our economy. Financial institutions (FIs) have seen regulator demands grow since the 2008 credit crisis. Regulators continue to expand responsibilities and fine-tune longstanding rules.

In the banking and capital markets sector, the Dodd-Frank legislation created in response to the crisis continues to drive enhanced regulatory scrutiny, including new expectations around stress testing and capital planning as well as recovery and resolution planning. The Consumer Financial Protection Bureau continues to exercise new rule-making abilities. Additionally, money laundering compliance and cyber continue to rank high on regulators’ agenda.