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期货和衍生品行业监管动态
及自律组织等实体进行检查，以确保其遵守联邦证券法。年度检查工作重点的发
布既推进了 SEC 的使命，也契合该办公室四大支柱目标：提升合规水平、防范
欺诈行为、监测市场风险、传导政策。
SEC 检查办公室代理主任 Keith Cassidy 指出：“在当前日益复杂多变的金
融监管环境中，我们致力于以透明务实的方式提升合规水平。2026 财年将是办
公室承前启后的关键时期，我们将发挥自身优势，聚焦使命，确保检查计划持续
守护投资大众，维护资本市场公平有序。”
2026 财年检查工作除涵盖信义义务、行为准则、资金存管规定等核心领域
外，还将重点关注新规遵守情况，例如 2024 年对 S-P 条例的修订。与往年一样，
办公室将优先检查新注册投资顾问及投资公司，督促其建立健全合规体系。
2026 年度检查工作重点涵盖投资者面临的广泛潜在风险领域，各机构在完
善合规计划时应予以充分考虑。然而，这些并非该部门来年将关注的所有领域的
详尽清单，实际检查范围还将结合机构历史、运营特点及产品服务等风险因素进
行综合评估。
SEC Division of Examinations Announces 2026 Priorities (2025/11/17)
The Securities and Exchange Commission’s Division of Examinations today
released its 2026 examination priorities. The Division publishes its annual
examination priorities to provide transparency to registrants and investors about the
topics that the Division plans to focus on in the new fiscal year and to encourage firms
to direct their compliance efforts on areas of potentially heightened risk.
“Examinations are an important component to accomplishing the agency’s
mission, but they should not be a ‘gotcha’ exercise,” said SEC Chairman Paul S.
Atkins. “Today’s release of examination priorities should enable firms to prepare to
have a constructive dialogue with SEC examiners and provide transparency into the
priorities of the agency’s most public-facing division.”
The Division examines SEC-registered investment advisers, investment
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