Tag: SEC Amendments

Translating SEC exam priorities into action: How compliance leaders will refocus their programs in 2026

Going forward into 2026, the compliance landscape will be shaped less by brand-new rules and more by heightened expectations around program effectiveness, governance, and execution. The SEC’s 2026 Examination Priorities reinforce a familiar message: core obligations haven’t changed, but scrutiny has intensified. Fiduciary duty, disclosures, cybersecurity, and operational resilience remain front and center, with regulators […]

Form PF Amendments – Sections 1 & 2

The US Securities & Exchange Commission (SEC) is making major changes to Sections 1 & 2 of Form PF. What does this mean for all filers? Explore the complete video playlist below.