Regulatory Guidance

The SEC’s 2026 Examination Priorities highlight fiduciary duty, cybersecurity, conflicts, disclosures, and compliance program effectiveness. Here’s what small RIAs must know — plus practical steps to prepare.

In today’s fast‑paced and highly regulated business environment, financial compliance has become more than a legal requirement — it’s a foundation for trust and long‑term success. As regulations evolve, key themes such as cybersecurity, data privacy, and anti‑money laundering (AML) have taken center stage. Registered Investment Advisers (RIAs) that proactively manage compliance not only avoid penalties but also enhance their credibility with clients and regulators alike.