Silver’s CEO, Fizza Khan, and Host, Tom Fox, discuss the reasons behind Silver’s launch, offer advice for investment managers to meet regulatory obligations, provide practical tips for SEC exams and delve into the complicated world of cryptocurrency. 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.