The SEC’s 2026 Examination Priorities reflect both continuity and a notable shift in regulatory focus. This session will outline how these priorities align with the SEC’s broader agenda and translate into practical considerations for firms preparing for heightened scrutiny. Attendees will gain clear guidance on navigating evolving expectations across asset classes, data governance, and emerging technologies.
Key Areas of Focus
- Understanding exam priorities in context: How the SEC’s 2026 priorities intersect with broader regulatory trends and what this means for firms.
- Assessing regulatory focus across products: Guidance for private funds, registered funds and asset managers, wealth management, crypto, and broker-dealers, with emphasis on expectations for retail alternatives, product launches, and distribution strategies.
- Managing conflicts of interest: Key considerations when wrapping private strategies in registered products and distributing them through wealth channels.
- Strengthening cybersecurity, privacy, and Reg S-P compliance: What firms must prepare for regarding data protection and governance expectations.
- Advancing AI readiness: Insights from ACA’s AI Benchmarking Report, how ACA is integrating AI into its platform, and what the SEC is signaling around governance, risk, and compliance for AI-enabled tools.
Why Attend
Gain strategic insight into how the SEC’s 2026 priorities fit into the broader regulatory landscape and learn actionable steps to strengthen compliance programs across product launches, distribution, cybersecurity, and emerging technologies.