The SEC’s examination priorities for 2026 continue to tighten around cybersecurity, recordkeeping, and technology governance. Advisors are expected to have written information security policies, incident response plans, vendor due diligence documentation, and evidence of ongoing security training. The $81 million in fines levied against 16 firms for recordkeeping failures sent a clear message: the SEC is enforcing, not just advising. A compliant practice in 2026 needs a documented cybersecurity framework, automated compliance reporting, a tested incident response plan, and ongoing staff training with documented completion records. AI-assisted compliance reporting can automate evidence collection and flag gaps before an examiner does.
