As firms evolve, their compliance programs need to keep pace.
Explore ACA's executive guide to understand why compliance program effectiveness remains an area of SEC examination focus and how investment advisers can assess whether their policies reflect current business operations.
Why This Guide Matters
The fundamentals of compliance haven't changed—but expectations around demonstrating compliance continue to evolve.
The SEC’s 2026 Examination Priorities focus on whether advisers’ compliance policies and procedures are reasonably designed in light of their operations and conflicts of interest and whether those policies and procedures are implemented and enforced.
This guide explores:
- What the SEC's Examination Priorities mean for investment advisers
- Why compliance programs should evolve alongside the business
- How to identify when policies and practices have fallen out of alignment
- How to assess your firm's examination readiness
Who Should Download This Guide?
This guide is designed for:
- CCOs
- Compliance professionals
- RIAs
- Operations leaders
- Firm executives responsible for governance and risk management
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