Exam Preparation
6 articles in this category
The SEC's FY 2027 Exam Priorities: 6 Areas Every RIA CCO Should Review
The SEC's FY 2027 priorities put economic conflicts, proxy voting, AI, Regulation S-P, valuation and private funds in focus. Here is what RIAs should review now.
SEC Examination Readiness: Where RIAs Fall Short
What SEC exam readiness really means for RIAs: aligning policies, testing, records, disclosures and AI governance before the examination request arrives.
AI Exam Readiness 2026: How RIAs Should Prepare for AI-Focused SEC Reviews
What SEC examiners are asking about AI in 2026, how to build an AI evidence file, and a tabletop checklist to prepare RIAs for AI-focused reviews.
SEC Examination Priorities 2026: What RIAs Must Prepare For
Comprehensive analysis of the SEC's newly released 2026 examination priorities, focusing on AI governance, cybersecurity, and private fund oversight.
SEC Sweep Examinations: What Traditional RIAs Should Expect
Analysis of the SEC's latest examination priorities targeting fee billing, portfolio management, and conflicts of interest at traditional advisory firms.
Preparing for Your First SEC Examination
What newly registered RIAs should expect during their first SEC exam and how to prepare for a successful outcome.