In 2022, PE deals with IA and Broker-Dealer involvement broke records, with $61.8 billion valued across 210 deals. That same year, firms contended with the compliance date of the SEC’s New Marketing Rule. 

The takeaway: Heightened pressure from increased regulatory activity has culminated in shifting M&A strategies. 

Regulatory agencies worldwide are grappling with the fully unfurling ramifications of digitization and massive growth in technology platforms. As a result, firms have witnessed a tightening regulatory schema and quickening pace of rulemaking, which has increased demands on firms to adapt at an unprecedented rate. 

By analyzing recent mergers and acquisitions (M&A) activity, with data provided by PitchBook, we assess how the broader industry is evolving behind the scenes in an age of increasing regulatory activity, hypothesizing that heightening regulations may be the driver of recent dealmaking strategies.  

COMPLY’s report highlights: 

• Market trends and PE deal-activity, analyzing the pace of M&A activity in recent years 
• The macro conditions which point toward broadening and deepening regulatory regimes, examining cryptocurrency as a case study for the evolving nature of the financial landscape 
• Regulatory technology (Regtech) adoption and how it addresses the critical need for increasingly powerful and transparent tools

Data provided by Pitchbook.

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