The 2026 RIA Compliance Playbook: SEC Exam Priorities, Enforcement Trends & Readiness Guide

What This Playbook Covers

The LawVisory Compliance Playbook – 2026 Edition is a living compliance resource built specifically for RIAs, CCOs, and compliance professionals preparing for heightened SEC scrutiny.

Inside, you’ll find:

• 2026 SEC Examination Priorities explained in plain English
• Enforcement and Risk Alert trends shaping regulator behavior
• Practical guidance for SEC exams, mock audits, and annual reviews
• Cross-cutting risk analysis for cybersecurity, AML, AI, custody, and marketing
• Compliance expectations for advisers, broker-dealers, funds, and dual registrants

This is not a generic overview—it is aligned to how the SEC is actually examining firms today.

Why the 2026 Edition Matters

Regulatory expectations are accelerating.

The SEC and FINRA are increasing scrutiny across:

• Fiduciary duty and conflicts of interest
• Marketing Rule compliance and AI-washing
• Cybersecurity, Regulation S-P, and incident response
• AML program adequacy and misrepresentation
• Off-channel communications and recordkeeping
• Vendor oversight and operational resiliency

This playbook incorporates 2025 enforcement actions, FINRA disciplinary trends, and SEC Risk Alerts to help firms prepare for what regulators are focusing on now—not what they said years ago.

Who This Playbook Is For

• Registered Investment Advisers (RIAs)
• Chief Compliance Officers (CCOs)
• Compliance, legal, and risk teams
• Newly registered or never-examined firms
• Dual registrants and advisers with alternative, private fund, or emerging asset exposure

If your firm must defend its compliance program in an SEC exam, this playbook is built for you.

Why LawVisory

LawVisory is a compliance-first legal and advisory firm focused on investment advisers, funds, and regulated financial businesses.

We do not sell templates without context—and we do not provide theoretical guidance disconnected from enforcement reality. Our work is grounded in how regulators actually examine firms.