IOSCO summarized its 2019 initiatives in five priority areas: crypto-assets, artificial intelligence and machine learning, market fragmentation, passive investing and index providers, and retail distribution and digitalization.
The SEC Office of Compliance Inspections and Examinations highlighted exam priorities for 2019. The priorities focus on areas that represent increased risks to retail investors and the integrity of the U.S. capital markets.
In testimony before the House Agriculture Committee, CFTC Chair J. Christopher Giancarlo described agency priorities related to enforcement, FinTech, market oversight and recent rulemaking initiatives.
In testimony before the House Financial Services Committee, Comptroller of the Currency Joseph Otting identified the top priorities of the Office and detailed operational and compliance risks faced by the banking industry.
SEC Division of Corporation Finance Director William Hinman summarized upcoming rulemaking priorities. The Director described initiatives focused on capital formation and improving the SEC's disclosure regime.
The SEC Office of Compliance Inspections and Examinations ("OCIE") announced 2018 examination priorities based on issues that currently present increased risks to retail investors and the integrity of the U.S. capital markets.
In a set of recommendations to Congress, the North American Securities Administrators Association emphasized protections for retail investors, seniors and securities markets, as well as the continued "empowerment" of state regulatory authorities.
In a wide ranging interview with Risk Desk Editor-in-Chief John Sodergreen, Acting CFTC Chair J. Christopher Giancarlo expressed his views "on market growth, killing bad policy and rules, staffing the agency, fintech, matters of market jurisdiction and his relationship with FERC."
The Office of the Comptroller of the Currency released a mid-cycle status report that provides an update of the 2016 operating plan of its Committee on Bank Supervision. The report provides guidance to supervisors on their priorities for the fiscal year.