News & Insights: Exams & Exam Priorities

SEC's 2026 Exam Priorities: What Areas Will Examiners Focus On

On November 17, 2025, the SEC’s Division of Examinations (“EXAMS”) published its 2026 Examination Priorities. The SEC’s fiscal year runs from October 1st to September 30th, and these annual priorities highlight practices and products viewed by EXAMS as presenting heightened risks to investors and the markets overall.

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SEC Exam Observations: ESG Investing Risks

Recently, the U.S. SEC released a Risk Alert outlining specific compliance concerns associated with environmental, social, and governance (ESG) investing.

LIBOR Transition Compliance Risks

On June 18, 2020, the OCIE announced an exam initiative and issued a subsequent Risk Alert about LIBOR transition preparedness.
  • SEC
  • 05 Jun, 2018

SEC Orders Cease-and-Desist to Registered Investment Adviser for Multiple Violations of the Advisers Act

On June 4th, 2018, the SEC released its order instituting administrative and cease-and-desist proceedings against a registered investment adviser (“Respondent”) found to be in multiple violations of the Advisers Act.
  • SEC
  • 13 Apr, 2018

SEC Office of Compliance Inspections and Examinations Releases Risk Alert: Most Frequent Advisory Fee and Expense Compliance Issues Identified in Examinations

OCIE released a compiled list of compliance issues relating to fees and expenses most frequently identified in deficiency letters sent to advisers.
  • SEC
  • 29 Aug, 2017

SEC Conducts Surprise Examinations

The SEC’s Boston Regional Office has confirmed that it has randomly visited close to 20 registered investment advisers in the region to conduct examinations without providing any prior notice.

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