Understand the SEC's 2026 Examination Priorities and what they mean for your firm.
The SEC's latest examination priorities signal a notable shift toward transparency and collaboration, but regulatory expectations remain as important as ever. This whitepaper explores the key areas examiners will focus on, including fiduciary duty, compliance program effectiveness, cybersecurity, AI oversight, marketing practices, and operational resiliency. Learn how investment advisers can proactively strengthen their compliance programs and prepare for examinations in the year ahead.
Ready to tackle T+1 with ease?
Download Your Copy Today
_Page_1.jpg?width=1545&height=2000&name=2026%20Examination%20Priorities%20Whitepaper%20%20(1)_Page_1.jpg "2026 Examination Priorities Whitepaper (1)_Page_1")
2026 EXAMINATION PRIORITIES WHITEPAPER
What’s inside:
- A breakdown of the SEC's 2026 Examination Priorities and what they mean for investment advisers today.
- Key examination focus areas, including fiduciary duty, compliance program effectiveness, and adviser oversight.
- Practical guidance for strengthening compliance programs and examination readiness.
- Insights into cybersecurity, operational resiliency, and emerging technology risks, including AI.
- Considerations for marketing compliance, disclosures, valuation practices, and recordkeeping.
Preparing for your next SEC examination?
As regulatory expectations evolve, firms that succeed will be those that move beyond check-the-box compliance and build programs that are effective in practice. Understanding the SEC's priorities today can help strengthen your readiness for tomorrow's examination.