SEC Announces 2027 Examination Priorities
The SEC’s Division of Examinations has released its FY 2027 examination priorities, highlighting continued scrutiny of investment advisers’ fiduciary obligations, conflicts of interest, compliance programs, cybersecurity, and emerging technologies.
October 23, 2026
2026 IAA Compliance Workshops: Recap
IAA Compliance Workshop shared expert views on practical strategies for SEC exam preparedness, strengthening cybersecurity, implementing amended Regulation S-P, managing third-party risks, and addressing AI governance and emerging threats.
October 19, 2026
IAA Welcomes Publication of SEC Examination Handbook
New SEC Exam Handbook provides greater clarity and transparency regarding the examination process and what registrants can expect before, during, and after an SEC examination.
October 01, 2026
The SEC’s Division of Examinations has issued a risk alert regarding investment adviser annual compliance reviews.
September 15, 2026
SEC Issues Risk Alert on Economic Conflicts of Interest
June 9, 2026 Risk Alert discussing the SEC staff’s observations from examinations related to investment advisers’ obligations concerning economic conflicts of interest and associated fee practices.
June 10, 2026
The SEC Issues New Marketing Rule Risk Alert Sharing Exam Observations
A December 16, 2025, Risk Alert discusses the SEC staff’s observations from examinations of investment advisers for compliance with the Marketing Rule, focusing on testimonials, endorsements, and third-party ratings.
December 17, 2025
2025 IAA Compliance Workshop Takeaways
Takeaways from 2025 IAA Compliance Workshops and thank you to speakers.
December 15, 2025
SEC Publishes 2026 Examination Priorities
The SEC’s Division of Examinations announced its fiscal year 2026 examination priorities. The high-level focus remains consistent with last year’s priorities across three themes: adherence to fiduciary duty, compliance program effectiveness, and oversight of newly registered or never examined advisers.
November 18, 2025
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