SEC announces FY 2027 examination priorities

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SEC announced the FY 2027 examination priorities of the Division of Examinations, aimed at promoting compliance, preventing fraud, identifying and monitoring risks, and informing policy development. The priorities cover more than 34,000 registered entities and include investment advisers’ fiduciary duties, complex and high-risk products, private funds and private credit, broker-dealer anti-money laundering compliance, operational resilience and cybersecurity, emerging technologies, Treasury clearing reforms, and tokenization.