What's Changing in Wealth Management Compliance in 2026?
SEC enforcement priorities, FINRA's modernization agenda, and what AI governance requirements mean for your compliance stack. Three practitioners, one 40-minute conversation — no sales pitch.
What you'll actually learn.
The SEC's examination playbook has shifted from fiduciary duty to AI diligence faster than most firms expected. Three years of marketing-rule enforcement taught the industry one thing: the gap between "we have a policy" and "we can defend it" is where exam findings live. AI governance is now in the same place.
In this 40-minute roundtable, three practitioners — a former SEC enforcement attorney, a sitting Chief Compliance Officer, and FINRA-side counsel — break down exactly what's changing in 2026 and what your firm needs to have in place before your next examination.
This isn't theory. Every speaker either ran cases inside a regulator or has been on the receiving end of one. We focus on the operational reality: which documentation actually satisfies examiners, where firms are getting caught flat-footed, and what the practical path to AI governance compliance looks like for a mid-market RIA.
Four things you'll walk away with.
The 2026 exam priorities map
What SEC and FINRA examiners are actually looking for this year, ranked by frequency of findings. With supporting documentation expected.
AI governance framework
The four-layer governance framework that's emerging as the de-facto standard — and the specific documentation gaps that put firms at risk.
Top deficiency findings
The five most common Marketing Rule and supervisory deficiencies cited in the past 18 months — and how to close those gaps in 30 days.
Action checklist by Monday
Three concrete actions every CCO can take by the Monday after the session. No theory. No "in an ideal world." Just what to do.
Three practitioners. One conversation.
Sarah Chen, JD
Sarah spent eight years in the SEC's Division of Enforcement, leading marketing-rule cases against RIAs of all sizes. She now advises wealth management firms on examination preparation and runs annual training programs for new CCOs entering the industry.
Marcus Reid, CFP®
Marcus has led compliance at a top-50 independent RIA through three SEC sweeps and two FINRA-side conversations. His practical playbook for what to document, when, and how to defend it has been adopted across the firm's peer network — and informs how the desk thinks about exam readiness.
Anita Kapoor
Anita spent six years inside FINRA leading broker-dealer examinations across the Northeast region. She now serves as outsourced general counsel to a roster of independent broker-dealers and dual-registered firms, with particular focus on the FINRA modernization initiative and AI supervision.
How the time actually breaks down.
Introduction & framing
Editor frames the session, introduces the platform's 80/20 editorial rule, and contextualises the three speakers' credentials. No promotional material.
The 2026 SEC examination map
What examiners are actually looking for this year, drawn from recent enforcement actions and public deficiency letters. Where Marketing Rule findings are clustering.
What documentation actually defends a firm
From the CCO chair: which policies and procedures hold up in exam, which don't, and the specific documentation gaps that have cost firms in the past 18 months.
FINRA modernization & AI governance
The FINRA modernization initiative explained from the inside. AI governance expectations crystallising into the four-layer framework. What broker-dealers need to do this quarter.
Live questions from the audience
Submitted via chat, curated and asked live. The most useful practitioner questions get priority. We don't pre-screen for softballs.
Resources mentioned & what's next
Recap of the three concrete action items. Where to find the downloadable checklist. Next roundtable preview. Soft brand-integration segment.
About the Q&A
Audience questions are the heart of this format. Submit yours via the chat during the session — or pre-submit when you register, and we'll prioritise the best ones in the live segment.
We don't pre-screen for softballs. We do filter out anything off-topic, anything that requires personalised legal advice, and anything that's clearly a vendor pitch in question form. Otherwise, the harder the question, the more likely it makes air.
Take these home after the session.
The CCO's AI Governance Checklist
Exam Readiness Self-Assessment
2026 Annual Compliance Calendar
AI in Wealth Management Compliance: Complete Guide
The kind of roundtable people come back to.
Pulled from post-session feedback surveys — anonymised by role and firm size only.
"Better signal-to-noise than the last three industry conferences I attended combined. Sarah's framing of the deficiency-letter patterns alone was worth the registration."
"I was sceptical of the 'no sales pitch' promise. Forty minutes in, no pitch happened. The Powered-By segment at the end was understated to the point I almost missed it. Refreshing."
"The Q&A segment is where this format earns its place. Marcus answered my exam-prep question on air with specifics I haven't seen anywhere else. Bringing my whole compliance team to the next one."
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