SEC Exam & Enforcement Update: Observations from 2025 & What to Look for in 2026

Join us and Standish Compliance for a timely SEC examination and enforcement update.

Our panel—including speakers from our firm, Standish Compliance, and industry guest Annie Hancock, chief compliance officer and deputy general counsel at Altimeter—will discuss the SEC’s latest examination and enforcement priorities, trends observed throughout 2025, and key areas expected to shape the 2026 regulatory landscape.

TOPICS WILL INCLUDE:

• Compliance with Regulation S-P
• Oversight of service providers
• Supervision and marketing of AI-driven strategies
• Exam trends and data analytics
• Enforcement themes emerging from recent SEC activity

CLE credit in CA, FL, IL, MN, NY*, OH, OR, PA, TX, and VA is currently pending approval. Credit in CT and NJ is pending approval via reciprocity. CLE credit is not available for the viewing of recorded sessions.

*This program qualifies for Newly Admitted Attorneys.

Those seeking CLE credit in any other state may be provided with a General Certificate of Attendance and may apply independently.