SEC Outlines Its 2026 Examination Priorities
The Division of Examinations' 2026 priorities continue its risk-based focus on investor protection, operational resiliency, and emerging technologies. Examinations will concentrate on AI, crypto, data security, AML, and T+1 settlement.
The SEC just outlined its roadmap for 2026, and firms should take note.
The Division of Examinations' 2026 priorities continue its risk-based focus on investor protection, operational resiliency, and emerging technologies.
Examinations will concentrate on five themes:
- AI and digital engagement tools: whether use of algorithms, robo-advisers, or automated recommendations aligns with disclosures and investor profiles.
- Crypto and digital assets: custody, valuation, and wallet practices remain top priorities.
- Data security and Reg S-P readiness: incident response and vendor oversight will face greater scrutiny.
- AML and sanctions: tailoring programs to business models, SAR filings, and OFAC monitoring.
- T+1 settlement and operational risk: assessing firms' controls as the shorter cycle takes effect.
The takeaway: 2026 exams will test how well firms align their operations with new technologies, faster markets, and evolving investor-protection standards.
ICS helps RIAs and broker-dealers translate these priorities into practical action plans before examiners arrive.
ICS advises financial institutions navigating regulatory changes of this type. If your firm needs to assess the impact of this development on your compliance program, contact us to discuss.
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