On November 17, 2025, the SEC’s Division of Examinations announced its FY2026 priorities.
This 30‑minute webinar focused on what these priorities mean for advisers and other viewers. The Division’s 2026 priorities highlight areas exam teams will scrutinize, including advisers managing both private funds and separately managed accounts/newly registered funds, alternative investments, such as private credit and private funds with extended lock‑ups periods, and compliance with the Regulation S-P amendments.
Speakers:
- Patricia Poglinco — Partner and Co‑Head, Investment Management Group
- Philip Moustakis — Partner and former Senior Counsel, SEC Division of Enforcement
- Erin Galipeau — Special Counsel and former Senior Counsel and Examination Manager, SEC Division of Examinations
Topics covered:
What’s changed from 2025—and what’s missing
- Compliance program effectiveness
- Operational and cybersecurity risks
- Regulation S-ID and Regulation S-P
- AI-related disclosure, monitoring, and supervision
- Advisers participating in business transactions
