2026 CCO Playbook: What’s Changed, What Hasn’t, and What’s Next

Examiners are back in the room and they’re asking about the fundamentals your program should have documented years ago. The 2025 deregulatory shift changed the rulemaking pace, but it didn’t change what examiners expect to find when they arrive.

Join Comply’s Mederic Daigneault, SVP of Regulatory Services, and Alison Cooley, Senior Director of Product Marketing, for a practical walk-through of Comply’s 2026 CCO Playbook, built for compliance leaders who are running lean and need clarity on where to focus.

Whether you’re managing compliance alongside other firm responsibilities or building out your program as your team grows, this session gives you a clear picture of what regulators are prioritizing and what you can do about it.

What we’ll cover:

• SEC enforcement trends and what they mean for RIAs in 2026
• The exam priorities most likely to surface gaps at advisory firms — marketing, supervision, and recordkeeping
• AI governance: the expectations already in place, even if your firm is just getting started
• Filing deadlines, annual review obligations, and the compliance calendar items you can’t let slip
• Straightforward next steps for firms at every stage

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