Regulatory-Driven M&A: Why New Rules Means New Deals for Financial Firms

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How are firms evolving in a new era of technology and regulation?  

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 the mergers and acquisitions (M&A) activity of both RIAs and Broker-Dealers, with data provided by PitchBook, we assess how the broader industry is evolving behind the scenes in an age of increasing regulatory activity and transformative new technologies.  

COMPLY’s Investment Advisers and Broker-Dealers M&A Review report highlights: 

  • Market trends and 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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