ON-DEMAND WEBINAR

2026 Exam Priorities and Year-End Compliance Reviews

Get practical guidance from STP compliance experts on how to wrap up the year with confidence and prepare for what’s ahead in 2026.

In this webinar, ComplianceAdvisor experts Lori Weston and Lisette Lopez walk through the key compliance priorities firms should focus on as 2025 wraps up, along with what the SEC will be looking at in 2026. This is your go-to compliance planning session.

Ready to tackle T+1 with ease?

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WEBINAR DETAILS

What You'll Learn:

Key SEC exam priorities including AI, Reg S-P, and adviser M&A activity
What to include in your annual compliance review and how to document it
Best practices for employee attestations and year-end training
How to review and update your firm’s disclosures across all channels
Critical filing deadlines and action steps for the compliance calendar

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Keynote Speakers

Lori Weston

Head of Compliance at STP

Lisette Lopez

Compliance Consultant

ComplianceAdvisor provides industry-leading compliance advice and support to investment advisors of all types and sizes. From registration to developing a customized compliance program, our experienced consultants provide hands-on, one-on-one support every step of the way.

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