SEC Division of Examinations Announces 2027 Exam Priorities: A Focus on Conflicts, Emerging Technologies, and Complex Products
Wednesday, November 4, 2026 · first reported by Morrison & Foerster LLP via JD Supra
Fiscal year 2027 examination priorities were announced on October 23, 2026 by the SEC Division of Examinations. The list marks where the Division will give closer scrutiny. Firms in scope include advisers to investors, investment companies, broker-dealers, clearing agencies and SROs, along with other market participants. Morrison & Foerster's write-up sorts the themes into conflicts, emerging technologies and complex products.
- Asset class
- Hedge funds
- Geography
- North America
The summary and fields above are extracted from the published reports and can contain errors. The linked articles are the source of record.
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Coverage
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- SEC Adopts Amendments to Update Definitions of Small Entity for Investment Companies and Investment AdvisersSEC Press Releases
- California’s New Healthcare Transaction Regulations Clarify Filing Requirements for PE Funds, Hedge Funds and MSOsMcGuireWoods LLP via JD Supra
- UK FCA Findings On Conflicts Of Interest And Fair Customer Treatment In Private MarketsA&O Shearman via JD Supra
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