SEC Division of Examinations Announces 2026 Priorities to Guide Compliance Efforts

USA: SEC Division of Examinations Announces 2026 Priorities

Leadership Emphasizes Collaborative Approach

The U.S. Securities and Exchange Commission has outlined its examination focus for fiscal year 2026, aiming to enhance compliance and investor protection. The Division of Examinations released the priorities to provide registrants and investors with insight into the topics it will scrutinize in the upcoming year.

Division Highlights Compliance Goals

“Examinations are an important component to accomplishing the agency’s mission, but they should not be a ‘gotcha’ exercise,” SEC Chairman Paul S. Atkins said, noting that the release is intended to enable firms to prepare for constructive dialogue with examiners.

Core and Emerging Examination Topics

Acting Director Keith Cassidy explained that the 2026 agenda will continue to examine core areas such as fiduciary duty, standards of conduct, and the custody rule, while also assessing compliance with newer regulations, including the 2024 amendments to Regulation S‑P.

Focus on New Registrants

The Division plans to prioritize examinations of newly registered investment advisers and investment companies, encouraging these entities to build robust compliance programs early in their operations.

Comprehensive Risk Assessment

Beyond the listed priorities, examiners may evaluate additional risk factors such as an entity’s historical conduct, operational structure, and the nature of its products and services, reflecting a broad view of potential investor risks.

Transparency and Market Integrity

According to the release, the annual publication of examination priorities aligns with the Division’s four pillars—promoting compliance, preventing fraud, monitoring risk, and informing policy—to support fair and orderly capital markets.

This report is based on information from SEC, licensed under Public Domain (U.S. Government Work). Source: Official U.S. Government release.