Peter Schablik

In the recent FundFire article, "SEC Gets Ready to Scrutinize Compliance with Data Protection Rule", the SEC’s renewed focus on Regulation S-P was front and center, with an emphasis on stricter breach notification requirements and oversight of third-party vendors. Lori Weston, Head of Compliance, shared her perspective on the challenge of vendor accountability: “While firms can amend their contracts to include the new reporting timelines, a main concern among firms is how they can ensure that their service providers are aware of the obligation to notify them within 72 hours... The SEC suggested obtaining certifications from service providers, but this may be viewed as insufficient assurance.” Read the article in full in FundFire: https://lnkd.in/e9n-bQVi

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The SEC’s latest CAIS/CAT amendment signals a real shift toward more meaningful and secure regulatory data, not just more reporting.   🔐 Stronger protection of sensitive customer data 📊 Greater focus on data alignment and lifecycle integrity ⚖️ Oversight that serves regulatory intent, not just compliance   👉 Read the full breakdown on our blog and what this means for firms navigating CAT and CAIS here: https://lnkd.in/dfjUySfG #CAIS #CAT #transactionreporting #endtoendoversight

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The SEC has released its 2026 examination priorities, with a clear message for advisers: Strengthen your controls, document your decisions and be ready to show that your compliance program works in practice. ACC’s latest update highlights the key shifts for 2026, including stronger expectations around fiduciary duty, data privacy under the amended Regulation S-P, operational and third-party access risks, and oversight of complex products and emerging technologies. Read the full article for a quick, practical summary of next year's priorities: https://lnkd.in/dw2cvzte If your team needs help preparing for next year’s exams, ACC is here to support you. #AdviserComplianceConsulting #SEC #2026exampriorities #compliance #compliancenews

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Books and records are often one of the first areas regulators assess during an SEC examination and deficiencies can raise immediate red flags. 📘 Books and Records Requirements for Investment Advisers 🗓️ Tuesday, January 27, 2026 | 1:00–3:00 PM ET This seminar covers the nuts and bolts of the SEC’s books and records rule (Rule 204-2), including recent amendments, and provides insight into the SEC’s expectations for both required and non-required records requested during examinations. After attending this course, participants should be able to: • Implement a holistic and practical approach to books and records management within a compliance program • Distinguish between Rule 204-2 required records and non-required records included in SEC exam request lists • Use SEC examination document request lists to test books and records systems • Update books and records policies and procedures to meet SEC requirements and examination expectations • Manage an organized records system that creates a positive impression during SEC examinations • Apply practical tips to avoid common books and records deficiencies 🎓 Recommended CE credits: • 2 CPE (Regulatory Ethics) • 2 IACCP® CE • 2 CA MCLE • CFP® credit: TBA 👉 Register now: https://hubs.la/Q03_9q5k0

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Pleased to share that Atikin Consulting has partnered with the Maryland State Retirement and Pension System to implement the Workiva Audit Management solution! This engagement will streamline audit workflows, improve transparency, and strengthen risk and compliance practices across Maryland SRA. By leveraging Workiva’s platform, we’re helping to establish a modern, scalable framework that supports their mission of accountability and operational efficiency. #AuditManagement #Workiva #Atikin #PublicSector #RiskAndCompliance #Collaboration #GRC #DigitalTransformation

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The SBA has extended the deadline for its program-wide 8(a) audit and released new guidance clarifying what firms must submit — including how fiscal years are defined, which contracts must be reported, and expectations for financial records. For tribal enterprises and other Native-owned contractors that rely on the 8(a) program as a core economic development tool, the clarification eases some uncertainty but underscores the scale of the review and the stakes for compliance. https://lnkd.in/ghXmvRRE

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Starting March 18, 2026, SEC insider reporting rules will apply to directors & officers of foreign private issuers under the HFIA Act. FPIs should prepare now for EDGAR onboarding & compliance. https://ow.ly/l3Nw50XNRqx

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🚨 SEC Division of Examinations Releases Its 2026 Examination Priorities The SEC’s Division of Examinations has published its Fiscal Year 2026 Examination Priorities, offering critical insight into how regulators will assess compliance, risk, and governance across investment advisers and broker-dealers. The 2026 priorities reinforce the SEC’s focus on: • Fiduciary duties and conflicts of interest • Cybersecurity and data governance • Emerging technologies and third-party integrations • Compliance policy effectiveness and annual reviews Key takeaways for investment advisers: ▪ Advisers with higher-risk business practices should expect increased scrutiny ▪ Documentation around disclosures, client objectives, and execution is under review ▪ Firms undergoing mergers, transitions, or product launches face heightened examination risk ▪ Dually registered and technology-enabled firms should anticipate specialized attention These priorities are not exhaustive — exams will also consider each firm’s history, operations, and products. Now is the time to assess whether your compliance framework is aligned with the SEC’s 2026 expectations. https://lnkd.in/d7Vjq4-J #SECPriorities2026 #SECExams #RIACompliance #BrokerDealerCompliance #RegulatoryUpdate #CybersecurityCompliance #RiskManagement #FinancialRegulation #LawVisory Attorney Advertising—LawVisory PLLC is a U.S. law firm that provides this information as a service to clients, prospective clients, and other friends for educational purposes only. It should not be construed or relied on as legal advice or to create a lawyer-client relationship.

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News: Ascend Platform Firms Expand New England Presence Through Mergers at TSS and Walter Shuffain: Ascend, a strategic partner for regional accounting and advisory firms backed by Alpine Investors, has announced mergers at two of its platform firms effective November 1. TSS Advisors of Lebanon, N.H., has merged in John G. Burk & Associates of Keene, N.H., while Boston-based Walter Shuffain Advisors Inc. has integrated Richardson & Company PC of […] The post Ascend Platform Firms Expand New England Presence Through Mergers at TSS and Walter Shuffain appeared first on Inside Public Accounting. http://dlvr.it/TPP98s via IPA #CPA #accounting #firms

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📍 PolicyEngine is at the National Tax Association Annual Conference in Boston this week! This morning, Ben Ogorek presented "Calibrating Survey and Administrative Data to Enable Local Tax Microsimulation"—showing how our open-source models can be extended for subnational policy analysis. If you’re here, don’t miss Ben's second presentation tomorrow (Friday, Nov 7, 8:30–10:00 AM, Westin Copley Place – Adams Room): 🧮 “Simulating Reforms to Taxation of Social Security Benefits.” Learn how PolicyEngine models the interaction of Social Security, taxes, and benefits in retirement—and how open microsimulation tools can inform national reform debates.

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