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09/14/2026 | Press release | Distributed by Public on 09/14/2026 11:15

Examinations Observations Regarding Investment Adviser Annual Compliance Review

The Division of Examinations published a Risk Alert relating the requirement that advisers conduct a review of their compliance policies and procedures at least annually to assess their adequacy and the effectiveness of their implementation. The Risk Alert highlights certain areas advisers may want to consider when conducting their reviews. It also encourages advisers to reflect upon their practices, policies and procedures and to implement any appropriate modifications to their annual review processes.

SEC - U.S. Securities and Exchange Commission published this content on September 14, 2026, and is solely responsible for the information contained herein. Distributed via Public Technologies (PUBT), unedited and unaltered, on September 14, 2026 at 17:15 UTC. If you believe the information included in the content is inaccurate or outdated and requires editing or removal, please contact us at [email protected]

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