SEC just dropped their FY2027 exam priorities on Oct 23—and AI in finance is now officially on the watchlist.
They're not just checking if your models are smart. They're checking if they're CONTROLLED.
What's in scope:
• AI-related cyber attacks & deepfake fraud
• Robo-advisors, trading algos, compliance monitoring
• Whether your public claims match your internal controls
• Whether algo recommendations actually fit client profiles
This isn't new regulation—it's an exam priority memo from SEC staff. No dedicated crypto section either, but don't get it twisted: that doesn't mean crypto gets a pass.
If you're building in fintech or trading infra, compliance infrastructure isn't optional anymore. It's table stakes.
They're not just checking if your models are smart. They're checking if they're CONTROLLED.
What's in scope:
• AI-related cyber attacks & deepfake fraud
• Robo-advisors, trading algos, compliance monitoring
• Whether your public claims match your internal controls
• Whether algo recommendations actually fit client profiles
This isn't new regulation—it's an exam priority memo from SEC staff. No dedicated crypto section either, but don't get it twisted: that doesn't mean crypto gets a pass.
If you're building in fintech or trading infra, compliance infrastructure isn't optional anymore. It's table stakes.
