Getting the House in Order: Strengthening Regulatory Operations in a Quieter 2026

2026 marks the first year in more than half a decade without market participants being dominated by a major regulatory rewrite or re-fit. This so-called lull in regulatory change is increasingly being viewed as a critical window to “get the house in order”, particularly for firms focused on practical, foundational initiatives. For many organizations, that means infrastructure upgrades such as OMS/EMS enhancements, technology transformations, re-platforming efforts, and the onboarding of new solutions.

It also creates space to prioritize data quality and strengthen regulatory operations—two areas that often determine whether firms can meet current obligations efficiently and adapt smoothly when change inevitably returns. Regulatory operations sits at the intersection of business, compliance, technology, and operations, with transaction reporting at its core. For some firms, regulatory operations is embedded within broader operational teams responsible for reconciliations, settlements, and trade processing. Others have established dedicated regulatory operations teams to manage the complexities of an ever-evolving transaction reporting landscape.

One consistent theme emerging from discussions with hundreds of clients across sell side and buy side organizations and across jurisdictions is that regulatory operations can no longer be treated as an afterthought. Firms are placing greater emphasis on ensuring their teams are properly resourced, appropriately located, and equipped to manage both “run the bank” and “change the bank” initiatives. Sourcing and sustaining the right teams remain a challenge, which is why Cappitech launched our Regulatory Operations Managed Services offering in 2025.

This offering was developed to address a critical market need: regardless of the technology platform firms use to manage reporting obligations, operational execution is often difficult to source and scale. Cappitech Managed Services now supports clients across North America, Europe, and APAC, serving buy side, sell side, and corporate organizations. We deliver a bespoke service aligned to each client’s requirements, including primary reporting, reconciliations, assurance, pairing and matching, threshold monitoring, errors and omissions, backloading/backreporting and replays, and exception management. We also provide KPIs and SLAs designed to support consistent regulatory compliance. Our offering covers CFTC, SEC, CSA, EMIR, FinFrag, MiFID, SFTR, ASIC, MAS, HKMA, JFSA and OFR.

Our Managed Services clients entrust Cappitech with a mission-critical function, and we treat that responsibility with the utmost seriousness. Since launch, we have continued to expand our team across the U.S., the U.K., Singapore, India, and Malaysia to offer 24/6 support for our clients around the world. I’m proud of the service we’ve built, and I’m pleased to share our commitment to a holistic transaction reporting solution spanning Technology, Consulting, and Managed Services.