{"id":1706,"date":"2025-10-21T14:37:06","date_gmt":"2025-10-21T14:37:06","guid":{"rendered":"https:\/\/iqeq.com\/us\/insights\/2026-u-s-compliance-foreshadowing-back-to-the-future\/"},"modified":"2025-10-24T08:59:59","modified_gmt":"2025-10-24T08:59:59","slug":"2026-u-s-compliance-foreshadowing-back-to-the-future","status":"publish","type":"post","link":"https:\/\/iqeq.com\/us\/insights\/2026-u-s-compliance-foreshadowing-back-to-the-future\/","title":{"rendered":"2026 U.S. compliance foreshadowing: back to the future\u00a0\u00a0"},"content":{"rendered":"<section class=\"text-block standard-spacing  \">    <div class=\"container fade-in\">\n        <p><i><span data-contrast=\"auto\">By Sean Wilke, Head of Growth Strategy, U.S.<\/span><\/i><span data-ccp-props=\"{&quot;201341983&quot;:0,&quot;335559740&quot;:276}\">\u00a0<\/span><\/p>\n<p><span data-contrast=\"auto\">In the mid-20<\/span><span data-contrast=\"auto\">th<\/span><span data-contrast=\"auto\"> century, an aeronautical engineer from Lockhead Martin pioneered the philosophy, \u201cKeep it simple, stupid.\u201d \u201cKISS,\u201d as it was later coined, became a popular approach utilized across business and military disciplines and is very much still in existence today. The U.S. Securities and Exchange Commission (SEC) seems to be the latest governmental agency to align to this philosophy with its \u201cback to basics\u201d approach to regulation.<\/span><span data-ccp-props=\"{&quot;201341983&quot;:0,&quot;335559740&quot;:276}\">\u00a0<\/span><\/p>\n<p><span data-contrast=\"auto\">In particular, the regulator has stated it\u2019ll be focusing on investment advisers and their disclosure practices; a shift prioritizing core enforcement areas such as insider trading, accounting and disclosure fraud, market manipulation and breach of fiduciary duties.\u00a0<\/span><span data-ccp-props=\"{&quot;201341983&quot;:0,&quot;335559740&quot;:276}\">\u00a0<\/span><\/p>\n<p><span data-contrast=\"auto\">As we race towards 2026, this article aims to provide a practical overview of the SEC\u2019s enforcement focus on investment advisers with an emphasis on disclosure, based on recent developments and enforcement actions.<\/span><span data-ccp-props=\"{&quot;201341983&quot;:0,&quot;335559740&quot;:276}\">\u00a0<\/span><\/p>\n<h2>Key enforcement priorities<\/h2>\n<h3>1. Disclosure and transparency<\/h3>\n<ul>\n<li><span data-contrast=\"auto\">The SEC is cracking down on investment advisers for inadequate, misleading or omitted disclosures. This includes misrepresentations about investment processes, fees, expenses or performance metrics. For instance, in FY 2024, the SEC settled <\/span><a href=\"https:\/\/www.sec.gov\/newsroom\/press-releases\/2024-121\"><span data-contrast=\"none\">charges against multiple investment advisers for violating its Marketing Rule<\/span><\/a><span data-contrast=\"auto\"> by disseminating advertisements with untrue or unsubstantiated statements, such as misleading performance claims or third-party ratings without required disclosures<\/span><span data-ccp-props=\"{&quot;134233279&quot;:false,&quot;201341983&quot;:0,&quot;335559740&quot;:276}\">\u00a0<\/span><\/li>\n<li><span data-contrast=\"auto\">A notable case involved an investment adviser charged with falsely claiming compliance with anti-money laundering (AML) procedures in disclosure documents, despite not conducting the stated due diligence. The firm was ordered to pay a $150,000 civil penalty, underscoring the SEC\u2019s focus on accurate disclosure<\/span><span data-ccp-props=\"{&quot;134233279&quot;:false,&quot;201341983&quot;:0,&quot;335559740&quot;:276}\">\u00a0<\/span><\/li>\n<li><span data-contrast=\"auto\">The SEC has also targeted \u201cAI washing,\u201d where advisers <\/span><a href=\"https:\/\/www.sec.gov\/newsroom\/press-releases\/2024-186\"><span data-contrast=\"none\">falsely claimed to use artificial intelligence in their investment processes<\/span><\/a><span data-contrast=\"auto\">, misleading investors about their capabilities.<\/span><span data-ccp-props=\"{&quot;134233279&quot;:false,&quot;201341983&quot;:0,&quot;335559740&quot;:276}\">\u00a0<\/span><\/li>\n<\/ul>\n<h3>2. Fiduciary duty breaches<\/h3>\n<ul>\n<li><span data-contrast=\"auto\">Investment advisers are held to a fiduciary standard, requiring them to act in clients\u2019 best interests and fully disclose conflicts of interest. The SEC has pursued cases where advisers failed to disclose conflicts related to fees, expenses or personal use of client assets. For example, in March 2025, the SEC charged a New York-based investment advisory firm and its executives for misappropriating approximately $223,000 from a private fund for personal expenses, violating fiduciary duties<\/span><span data-ccp-props=\"{&quot;134233279&quot;:false,&quot;201341983&quot;:0,&quot;335559740&quot;:276}\">\u00a0<\/span><\/li>\n<li><span data-contrast=\"auto\">Enforcement actions have also addressed undisclosed compensation and improper expense allocations, particularly in private fund advising.<\/span><span data-ccp-props=\"{&quot;134233279&quot;:false,&quot;201341983&quot;:0,&quot;335559740&quot;:276}\">\u00a0<\/span><\/li>\n<\/ul>\n<h3>3. Marketing Rule violations<\/h3>\n<ul>\n<li><span data-contrast=\"auto\">The SEC\u2019s Marketing Rule (Rule 206(4)-1 under the Investment Advisers Act) has been a focal point, with enforcement actions targeting advisers for misleading advertisements. In September 2024, <\/span><a href=\"https:\/\/www.sec.gov\/newsroom\/press-releases\/2024-121\"><span data-contrast=\"none\">nine registered investment advisers<\/span><\/a><span data-contrast=\"auto\"> (RIAs) were charged for violations including unsubstantiated performance claims and missing disclosures for testimonials or endorsements, resulting in $1.24 million in combined penalties<\/span><span data-ccp-props=\"{&quot;134233279&quot;:false,&quot;201341983&quot;:0,&quot;335559740&quot;:276}\">\u00a0<\/span><\/li>\n<li><span data-contrast=\"auto\">Another case involved an adviser advertising the returns of a single investor as representative of overall fund performance, misleading prospective investors.<\/span><span data-ccp-props=\"{&quot;134233279&quot;:false,&quot;201341983&quot;:0,&quot;335559740&quot;:276}\">\u00a0<\/span><\/li>\n<\/ul>\n<h3>4. Recordkeeping and off-channel communications<\/h3>\n<ul>\n<li data-leveltext=\"\uf0b7\" data-font=\"Symbol\" data-listid=\"1\" data-list-defn-props=\"{&quot;335552541&quot;:1,&quot;335559685&quot;:765,&quot;335559991&quot;:360,&quot;469769226&quot;:&quot;Symbol&quot;,&quot;469769242&quot;:[8226],&quot;469777803&quot;:&quot;left&quot;,&quot;469777804&quot;:&quot;\uf0b7&quot;,&quot;469777815&quot;:&quot;hybridMultilevel&quot;}\" data-aria-posinset=\"8\" data-aria-level=\"1\"><span data-contrast=\"auto\">The SEC has intensified scrutiny of advisers\u2019 failure to maintain required records, particularly off-channel communications (e.g. personal text messages or WhatsApp). The regulator brought its <\/span><a href=\"https:\/\/iqeq.com\/insights\/analyzing-the-secs-first-e-comms-case-against-a-standalone-ria\/\"><span data-contrast=\"none\">first enforcement action against a standalone RIA<\/span><\/a><span data-contrast=\"auto\"> for off-channel communications in April 2024, citing violations of recordkeeping rules under the Advisers Act.<\/span><span data-ccp-props=\"{&quot;134233279&quot;:false,&quot;201341983&quot;:0,&quot;335559740&quot;:276}\">\u00a0<\/span><\/li>\n<\/ul>\n<h3>5. Thematic investing and ESG<\/h3>\n<ul>\n<li><span data-contrast=\"auto\">The SEC has focused on ensuring that disclosures related to thematic investing, such as environmental, social and governance (ESG) strategies, align with actual practices. In November 2024, an adviser was charged for misleading statements about the extent of ESG integration in its investment process, violating the Advisers Act<\/span><span data-ccp-props=\"{&quot;134233279&quot;:false,&quot;201341983&quot;:0,&quot;335559740&quot;:276}\">\u00a0<\/span><\/li>\n<li><span data-contrast=\"auto\">The SEC\u2019s Division of Examinations has prioritized reviewing advisers\u2019 and funds\u2019 disclosures for consistency with their investment processes, particularly for thematic strategies.<\/span><span data-ccp-props=\"{&quot;134233279&quot;:false,&quot;201341983&quot;:0,&quot;335559740&quot;:276}\">\u00a0<\/span><\/li>\n<\/ul>\n<h2>Broader context and compliance takeaways<\/h2>\n<ul>\n<li><b><span data-contrast=\"auto\">\u201cBack to basics\u201d approach:<\/span><\/b><span data-contrast=\"auto\"> At SEC Speaks 2025, senior officials emphasized returning to \u201cbread and butter\u201d enforcement areas, prioritizing investor protection and individual accountability. This includes ensuring advisers\u2019 disclosures are clear, accurate and consistent with their actions<\/span><span data-ccp-props=\"{&quot;134233279&quot;:false,&quot;201341983&quot;:0,&quot;335559740&quot;:276}\">\u00a0<\/span><\/li>\n<li><b><span data-contrast=\"auto\">Compliance policies and procedures:<\/span><\/b><span data-contrast=\"auto\"> Advisers must maintain robust policies to prevent violations, such as those related to material non-public information (MNPI) or recordkeeping. The SEC has charged advisers for failing to enforce written policies, as seen in a <\/span><a href=\"https:\/\/www.sec.gov\/enforce\/ia-6514-s\"><span data-contrast=\"none\">December 2023 case<\/span><\/a><span data-contrast=\"auto\"> against a New York-based RIA for inadequate MNPI procedures<\/span><span data-ccp-props=\"{&quot;134233279&quot;:false,&quot;201341983&quot;:0,&quot;335559740&quot;:276}\">\u00a0<\/span><\/li>\n<li><b><span data-contrast=\"auto\">Investor protection:<\/span><\/b><span data-contrast=\"auto\"> The SEC\u2019s actions aim to protect investors from fraud and ensure they receive material information needed for informed decisions. This aligns with the agency\u2019s mission to <\/span><a href=\"https:\/\/www.sec.gov\/newsroom\/speeches-statements\/speech-lee-iaacc-2020-03-05\"><span data-contrast=\"none\">maintain fair markets and facilitate capital formation<\/span><\/a><span data-contrast=\"auto\">.<\/span><span data-ccp-props=\"{&quot;134233279&quot;:false,&quot;201341983&quot;:0,&quot;335559740&quot;:276}\">\u00a0<\/span><\/li>\n<\/ul>\n<h2>Recommendations for investment advisers<\/h2>\n<ul>\n<li><b><span data-contrast=\"auto\">Review disclosures:<\/span><\/b><span data-contrast=\"auto\"> Ensure all disclosures, including those in Form ADV, marketing materials and offering memoranda, are accurate and consistent with actual practices.<\/span><span data-ccp-props=\"{&quot;134233279&quot;:false,&quot;201341983&quot;:0,&quot;335559740&quot;:276}\">\u00a0<\/span><\/li>\n<li><b><span data-contrast=\"auto\">Strengthen compliance programs:<\/span><\/b><span data-contrast=\"auto\"> Implement and enforce policies for recordkeeping, MNPI and conflict disclosure. Regularly review these policies to address emerging risks like AI or ESG-related claims<\/span><span data-ccp-props=\"{&quot;134233279&quot;:false,&quot;201341983&quot;:0,&quot;335559740&quot;:276}\">\u00a0<\/span><\/li>\n<li><b><span data-contrast=\"auto\">Monitor communications: <\/span><\/b><span data-contrast=\"auto\">Prohibit or monitor off-channel communications to comply with recordkeeping requirements under the Advisers Act<\/span><span data-ccp-props=\"{&quot;134233279&quot;:false,&quot;201341983&quot;:0,&quot;335559740&quot;:276}\">\u00a0<\/span><\/li>\n<li><b><span data-contrast=\"auto\">Engage with experts:<\/span><\/b><span data-contrast=\"auto\"> Promptly involve consultants or legal counsel when potential compliance issues arise to remediate and mitigate damage.\u00a0<\/span><span data-ccp-props=\"{&quot;134233279&quot;:false,&quot;201341983&quot;:0,&quot;335559740&quot;:276}\">\u00a0<\/span><\/li>\n<\/ul>\n<h4>To find out more about IQ-EQ\u2019s U.S. regulatory compliance expertise or speak to a member of our experienced team, please\u202f<a href=\"https:\/\/iqeq.com\/us\/services\/compliance-consulting-u-s\/\">click here<\/a>.<\/h4>\n            <\/div>\n<\/section>","protected":false},"excerpt":{"rendered":"","protected":false},"author":51,"featured_media":1707,"comment_status":"closed","ping_status":"closed","sticky":false,"template":"","format":"standard","meta":{"_acf_changed":false,"content-type":"","footnotes":""},"categories":[1],"tags":[],"expertise":[13],"service_category":[],"class_list":["post-1706","post","type-post","status-publish","format-standard","has-post-thumbnail","hentry","category-uncategorized"],"acf":[],"yoast_head":"<!-- This site is optimized with the Yoast SEO plugin v27.1.1 - https:\/\/yoast.com\/product\/yoast-seo-wordpress\/ -->\n<title>2026 U.S. compliance foreshadowing: back to the future\u00a0\u00a0 | IQ-EQ U.S.<\/title>\n<meta name=\"robots\" content=\"index, follow, max-snippet:-1, max-image-preview:large, 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