The SEC’s 2026 Exam Priorities put compliance fundamentals back in focus. Firms should be ready to show that core obligations are clearly documented, consistently executed, and defensible during an exam, from fiduciary duty to compliance program governance.
In this webcast, ACA’s Myles Blechner and Spencer Lennon will break down what these priorities mean in practice, drawing on recent exam trends, regulatory guidance, and field experience with compliance program reviews. The session will help compliance professionals strengthen their foundational approach while addressing emerging risks, including technology-driven challenges.
Discussion Topics
- Key takeaways from the SEC’s 2026 Exam Priorities and “back to basics” focus
- Strengthening and evidencing fiduciary duty frameworks in today’s regulatory environment
- Maintaining and evolving compliance programs in line with regulatory expectations
- Common deficiencies from recent SEC exams and steps to help avoid them
- Managing emerging technology risks within a foundational compliance framework
Speakers
- Myles Blechner, Director, ACA Group
Myles is a Director of Investment Advisory Consulting at ACA with 30+ years of experience building compliance programs and serving as an outsourced Chief Compliance Officer for investment advisers.
- Myles Blechner, Director, ACA Group
- Spencer Lennon, Principal Consultant, ACA Group
Spencer is a Principal Consultant at ACA who advises SEC-registered investment advisers on compliance program design, enhancement, and exam readiness while serving as an outsourced Chief Compliance Officer.
- Spencer Lennon, Principal Consultant, ACA Group