Investors want to see that ESG policies on paper are actually being implemented and protective mechanisms were put in place to guard against considered risks. In this episode of Innovation in Compliance, Silver’s Head of ESG Strategy, Trysha Daskam, explains how, without formal regulatory guidance, a firm should approach ESG policy and implementation. Click play to listen to the episode.
What SEC Examiners Will Test in 2026: From Reg S-P Readiness to AI Disclosures
Generative AI has expanded the compliance surface for investment advisers in ways most firms have not yet mapped. Combined with the amended Reg S-P and its June 3, 2026 deadline for smaller advisers, the result is a single examination focus. This article outlines what an audit-ready program looks like and where the common gaps appear.