SEC Division Of Examinations Announces Fiscal Year 2027 Exam Priorities
Thursday, November 12, 2026 · first reported by Mayer Brown via JD Supra
The SEC Division of Examinations has published its examination priorities for fiscal year 2027. The list keeps the core focus areas of earlier years: investment advisers' fiduciary obligations and the effectiveness of their compliance programs, Regulation Best Interest, broker-dealer financial responsibility rules and cybersecurity. Mayer Brown, which reported the announcement, says the frontier of the priorities has shifted from prior years.
- Firm
- Mayer Brown
- Also named
- SEC Division of Examinations
- Asset class
- Hedge funds, Private equity
- 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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