Preparing for the SEC’s 2026 Exam: Priorities for Investment Advisers

If you work at or with an investment adviser, the SEC’s 2026 examination priorities are critical because they shape what examiners will scrutinize when assessing whether firms are acting in clients’ best interests, keeping data safe and running reliable operations. These priorities affect day-to-day tasks, from how recommendations are documented to how cyber incidents are handled, and they signal where the SEC expects stronger controls, clearer disclosures and better evidence of good…
By: Fox Rothschild LLP