A compliance technology firm is helping Registered Investment Advisers (RIA) start 2026 with comprehensive compliance planning and preparation for anticipated Securities and Exchange Commission (SEC) examination priorities through a structured year-long checklist.
-- RIA Compliance Technology has released a structured compliance checklist to help RIAs tackle 2026 filings and align with anticipated SEC examination priorities. The checklist addresses a persistent challenge for advisers: critical compliance tasks often slip until filing deadlines or exam requests arrive. By transforming a reactive scramble into a proactive, organized process, the resource helps firms begin 2026 confidently and stay prepared for regulatory checks throughout the year.
More information is available at https://www.riacomptech.com/ria-year-end-compliance-checklist
A spokesperson from RIA Compliance Technology explained that the checklist simplifies the annual process for advisers. “Instead of waiting until deadlines are looming, firms can follow a clear, step-by-step plan to ensure all compliance obligations are addressed and documented beforehand,” they said.
The SEC Division of Examinations typically announces its annual priorities in early spring, focusing on fiduciary duties, conflicts of interest, best execution, disclosures, and the effectiveness of compliance programs. Recent examination trends have highlighted alternative investments, complex products like certain exchange-traded funds, higher-cost offerings, recommendations to older investors or those saving for retirement, and cybersecurity programs addressing AI and malware. For advisers juggling these obligations, a structured annual approach can prevent last-minute scrambling and costly remediation.
The checklist guides firms through eight core areas, including confirming continuing education for registered individuals, preparing first-quarter filings such as Form ADV, Form PF, Form 13F, and state financial statements, and reviewing compliance manuals to ensure policies reflect actual practice. Advisers are also advised to review the accuracy of their ADV forms across marketing materials and client agreements, align internal controls with SEC focus areas, conduct staff compliance training, review cybersecurity programs, and optionally perform mock audits.
RIA Compliance Technology also introduces its Simple Compliance Portal as a complementary solution. The platform centralizes compliance management, reducing the reactive scramble caused by spreadsheets, email chains, and shared drives.
“Starting the year with a comprehensive compliance review is particularly critical given emerging regulatory obligations,” the spokesperson emphasized, noting that the Financial Crimes Enforcement Network has proposed a rule requiring RIAs to implement anti-money laundering and countering the financing of terrorism programs under the Bank Secrecy Act. “Addressing these obligations early in the year helps advisers identify and remediate gaps proactively, reducing the likelihood of regulatory findings or operational disruption.”
Advisers looking to maintain compliance momentum throughout 2026 can access the annual compliance checklist through RIA Compliance Technology’s website at no cost.
Those who want to know more are encouraged to visit https://riacomptech.com/
Contact Info:
Name: Blake Bjordahl
Email: Send Email
Organization: RIA Compliance Technology
Address: 10031 E Dynamite Blvd Suite 240, Scottsdale, AZ 85262, United States
Website: https://riacomptech.com/
Source: PressCable
Release ID: 89181384
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