FEATURED
November 27, 2025
RIA Oversight Tightens as SEC Steps Up Exams — Custody Practices Under Renewed Scrutiny
Regulatory pressure on Registered Investment Advisors (RIAs) is intensifying. In its November 2025 Risk Alert, the SEC reported a 14% increase in RIA examinations, signaling a notable shift in supervisory priorities. While the SEC reviews a wide range of operational areas, three topics are receiving heightened scrutiny: custody practices, valuation controls, and recordkeeping.