Regulatory & Compliance | 10.23.26

SEC Targets Private Markets, AI and Fiduciary Risks Among 2027 Exam Priorities

by: Brian Anderson

The U.S. Securities and Exchange Commission's (SEC) 2027 examination priorities emphasize retail investor protection, fiduciary obligations, conflicts of interest, private credit, complex investment strategies, cybersecurity and evolving market infrastructure, including Treasury clearing reforms and tokenization. The agency will also scrutinize AI, examining firms’ oversight of AI tools, third-party technology providers, employee use of personal AI accounts, cybersecurity threats and compliance with existing regulations. Officials stressed that examination priorities are risk-based rather than exhaustive and may change as markets, technologies and investor concerns evolve. The SEC also plans to use advanced AI to strengthen its own examination capabilities and identify emerging risks.

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