What You Will Learn

    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.

     

     

    All webcasts are recorded and will be sent to registrants following the live broadcast.

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    Our Speakers
    • Carlo di Florio, President, ACA Group
    • Christine Tetherly-Lewis, Partner, ACA Group
    • Andrew Strnad, Partner, ACA Group
    • Michele Foldenauer, Managing Director, ACA Group
    • Francois Cooke, Managing Director, ACA Group
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    Our global team of regulatory compliance professionals includes former SEC, FINRA, FCA, CFTC, NFA, and state regulators, as well as former senior managers from prominent financial institutions and advisory firms. We work with compliance and legal professionals to review and develop compliance programs based on best practices, current regulatory requirements, and robust oversight processes.

    Gain peace of mind as you launch, grow, and protect your business with ACA.

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    Our unique blend:

    Our regulatory compliance, managed services and technology gives you access to full service GRC solutions that can help you launch, grow, and protect your firm.