--- title: Regulatory Round-Up January 2026 description: Stay informed on the latest regulatory updates for investment advisers. image: https://blog.truewest-consulting.com/hubfs/TW-OctoberRoundUp.jpg --- [![TrueWest-WhiteLogo-Transparent](https://blog.truewest-consulting.com/hs-fs/hubfs/Branding/TrueWest-WhiteLogo-Transparent.png?width=2000&height=390&name=TrueWest-WhiteLogo-Transparent.png "TrueWest-WhiteLogo-Transparent")](https://truewest-consulting.com) [![TrueWest-WhiteLogo-Transparent](https://blog.truewest-consulting.com/hs-fs/hubfs/Branding/TrueWest-WhiteLogo-Transparent.png?width=2000&height=390&name=TrueWest-WhiteLogo-Transparent.png "TrueWest-WhiteLogo-Transparent")](https://truewest-consulting.com) - [About](https://www.truewest-consulting.com/about) - [Technology](https://www.truewest-consulting.com/technology) - [Services](https://www.truewest-consulting.com/services) - Compliance - [RIA Compliance](https://www.truewest-consulting.com/services/ria-compliance) - [Private Fund Compliance](https://www.truewest-consulting.com/services/private-fund-compliance) - [Legal](https://www.truewest-consulting.com/services/legal) - [IT Operations & Governance](https://www.truewest-consulting.com/services/it-operations-and-governance) - [Finance](https://www.truewest-consulting.com/services/finance) - [News & Insights](https://blog.truewest-consulting.com/news-insights) - [Contact](https://www.truewest-consulting.com/contact) [Tech Portal Login](https://truewest.greenboard.com/) [Schedule a Call](https://www.truewest-consulting.com/schedule-a-call) [Tech Portal Login](https://truewest.greenboard.com/) [Schedule a Call](https://www.truewest-consulting.com/schedule-a-call) - [About](https://www.truewest-consulting.com/about) - [Technology](https://www.truewest-consulting.com/technology) - [Services](https://www.truewest-consulting.com/services) - Compliance - [RIA Compliance](https://www.truewest-consulting.com/services/ria-compliance) - [Private Fund Compliance](https://www.truewest-consulting.com/services/private-fund-compliance) - [Legal](https://www.truewest-consulting.com/services/legal) - [IT Operations & Governance](https://www.truewest-consulting.com/services/it-operations-and-governance) - [Finance](https://www.truewest-consulting.com/services/finance) - [News & Insights](https://blog.truewest-consulting.com/news-insights) - [Contact](https://www.truewest-consulting.com/contact) [Tech Portal Login](https://truewest.greenboard.com/)[Schedule a Call](https://www.truewest-consulting.com/schedule-a-call) [Regulatory Round Up](https://blog.truewest-consulting.com/news-insights/tag/regulatory-round-up) # Regulatory Round-Up January 2026 [![True West](https://blog.truewest-consulting.com/hs-fs/hubfs/Branding/Graphics/TrueWest-Icon-In-Circle.png?width=40&height=40&name=TrueWest-Icon-In-Circle.png)](https://blog.truewest-consulting.com/news-insights/author/true-west) by [True West](https://blog.truewest-consulting.com/news-insights/author/true-west) Jan 05 2026 Regulatory Round-Up January 2026 2:33   Unlocking Success in 2026: Your firm’s Essential Compliance Guide Happy New Year! As we step into 2026, now is the perfect time to ensure your firm is compliant, prepared, and confident. January is a critical moment to reflect, set priorities, and position your compliance program for the year ahead. Why Compliance Matters More Than Ever The SEC’s 2026 exam priorities signal a renewed focus on doing the fundamentals exceptionally well. Key areas to watch include: - Disclosures: Keep Form ADV, agreements, and marketing materials accurate and consistent - Conflicts of Interest: Identify, disclose, and actively manage conflicts - Regulation S-P: Strengthen cybersecurity and client data protection - Third-Party Oversight: Monitor vendors with access to firm or client data - Marketing Rule: Apply requirements correctly, especially for performance and testimonials Examiners will be closely evaluating the alignment between your written policies, disclosures, and actual practices—making preparation essential. January Focus: ADV Annual Amendment January is the ideal time to begin preparing your ADV Annual Amendment. Starting early helps avoid last-minute stress and ensures accuracy. Focus on: - AUM: Confirm calculations and methodologies - Consistency: Align Form ADV Parts 1 and 2 with internal records - Review: Validate ownership, services, fees, and disclosures - Material Changes: Document significant changes from 2025 Clear, well-supported AUM figures are especially critical for exam readiness. Don’t Overlook SMS Compliance If your firm uses text messaging with clients, those communications must comply with Regulation S-P. Our SMS Privacy Policy Template helps you document permitted use, data protections, and compliance controls—ensuring your practices are ready for SEC scrutiny. Looking Ahead to 2026 We’re excited to support you throughout 2026 with practical tools, clear guidance, and the upcoming launch of HERDWARE - our new technology designed to help firms meet real-world regulatory expectations with confidence. Stay Informed Subscribe to our newsletter for: - Expert regulatory insights - Practical compliance tools and tips - Updates on HERDWARE and new resources - Exclusive content to streamline your operations Join our community of firms committed to compliance excellence and start 2026 strong. Subscribe now and stay connected with The True West Team. Happy New Year! 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All Rights Reserved. - [Privacy Policy](https://45187591.hs-sites.com/privacy-policy) ![Nancy_Headshot-min](https://blog.truewest-consulting.com/hs-fs/hubfs/Website%20Imagery/Headshots/Nancy_Headshot-min.jpg?width=1575&height=1575&name=Nancy_Headshot-min.jpg) ## Nancy Harry Founder Nancy is a founding Member at True West. She brings over 20 years of experience in the financial industry with a concentrated focus in regulatory compliance consulting for registered investment advisory firms. She has a passion for working with clients in developing their compliance programs and assists firms with building a true culture of compliance. Nancy strives to keep a simple and straightforward approach to running an efficient compliance program. [mailto:nancy.harry@truewest-consulting.com](mailto:nancy.harry@truewest-consulting.com) ![Kari_Headshot-min](https://blog.truewest-consulting.com/hs-fs/hubfs/Website%20Imagery/Headshots/Kari_Headshot-min.jpg?width=225&height=225&name=Kari_Headshot-min.jpg) ## Kari Thiessen Founder Kari is a founding Member at True West. She brings nearly 30 years of experience in the financial services industry with a history in regulatory tax compliance, tax planning, economics and supply chain consulting. Kari takes pride in developing practical and innovative solutions for clients. Kari brings a broad and deep set of skills for any business, corporate or single person shop. [mailto:kari.thiessen@truewest-consulting.com](mailto:kari.thiessen@truewest-consulting.com) ![SigridAlegri_TrueWest B&W-1](https://blog.truewest-consulting.com/hs-fs/hubfs/SigridAlegri_TrueWest%20B%26W-1.jpeg?width=1575&height=1575&name=SigridAlegri_TrueWest%20B%26W-1.jpeg) ## Sigrid Alegria Associate Sigrid is an Associate at True West Consulting, bringing with her nearly a decade of experience in the legal and compliance sectors. Her background includes roles as an in-house compliance associate, as well as experience with prominent firms such as Goldman Sachs & Co. Sigrid has developed a strong expertise in regulatory compliance, with a particular focus on evolving Registered Investment Advisor (RIA) regulations. At True West, she leverages her comprehensive knowledge to provide operational support to a diverse range of clients, helping them navigate complex compliance challenges and stay ahead of regulatory changes." [mailto:Trish.Gallagher@truewest-consulting.com](mailto:Trish.Gallagher@truewest-consulting.com) ![Caroline_Headshot-min](https://blog.truewest-consulting.com/hs-fs/hubfs/Website%20Imagery/Headshots/Caroline_Headshot-min.jpg?width=1575&height=1575&name=Caroline_Headshot-min.jpg) ## Caroline Iannucci Associate Caroline is a Compliance Associate at True West. Caroline brings with her 10 years of Wall Street experience and broad based knowledge of the financial markets. As an institutional equity salesperson, she covered both hedge funds and mutual funds, specializing in public equities and private stock offerings. [mailto:caroline.iannucci@truewest-consulting.com](mailto:caroline.iannucci@truewest-consulting.com) ![TrueWest-Headshot-Carliss-min](https://blog.truewest-consulting.com/hs-fs/hubfs/TrueWest-Headshot-Carliss-min.jpg?width=225&height=225&name=TrueWest-Headshot-Carliss-min.jpg) ## Carliss Marshall Associate Carliss is a Compliance Associate at True West Consulting with six plus years of compliance experience. She has worked both as a member of an in-house compliance team and as a compliance consultant responsible for multiple clients. Carliss has experience in a variety of compliance focus areas, with extensive experience in regulatory filings. She has worked with both registered and unregistered investment advisory firms, ensuring all aspects of their compliance programs run smoothly and all regulatory requirements are met.   [mailto:carliss.marshall@truewest-consulting.com](mailto:carliss.marshall@truewest-consulting.com) ![Sara_Sparks-min](https://blog.truewest-consulting.com/hs-fs/hubfs/Website%20Imagery/Headshots/Sara_Sparks-min.jpg?width=225&height=225&name=Sara_Sparks-min.jpg) ## Sara Sparks Consultant Sara is a seasoned Compliance Consultant at True West specializing in registered investment advisory firms. She offers guidance and best practices on constantly changing securities division regulations and ensures firms are prepared for regulatory examinations. Sara has experience with newly registered firms and well-established firms. She assists firms with developing and maintaining a robust compliance program through guidance of policies and procedures, risk assessments, and performing day-to-day compliance duties. [mailto:sara.sparks@truewest-consulting.com](mailto:sara.sparks@truewest-consulting.com) ![Tammy_Headshot-min](https://blog.truewest-consulting.com/hs-fs/hubfs/Website%20Imagery/Headshots/Tammy_Headshot-min.jpg?width=225&height=225&name=Tammy_Headshot-min.jpg) ## Tammy Steffen Associate As a Compliance Consultant/Associate with True West Consulting, Tammy brings 39 years of experience throughout the financial services industry. With extensive experience in compliance procedures and policies, operations, and supervision, Tammy has worked with Broker-Dealer, and Registered Advisory firms to bolster and enhance their operations and compliance programs. [mailto:tammy.steffen@truewest-consulting.com](mailto:tammy.steffen@truewest-consulting.com) ![HughSimpson_Headshot-2-min](https://blog.truewest-consulting.com/hs-fs/hubfs/Website%20Imagery/Headshots/HughSimpson_Headshot-2-min.jpg?width=225&height=225&name=HughSimpson_Headshot-2-min.jpg) ## Hugh Simpson Consultant Hugh Simpson is a skilled professional in the financial services industry, with a deep background in the areas of legal, compliance, internal audit, enterprise risk management, corporate governance and government relations. He recently completed a 33-year stint as Executive Vice President – General Counsel and Corporate Secretary of two significant Fort Worth-based financial services companies. Prior to that he was a partner in the Corporate and Securities Section of one of the oldest and largest law firms in Fort Worth. Hugh now consults on a variety of issues in the financial services space. He takes a sensible, solutions-oriented approach to risk management, promotes effective corporate governance, and upholds high ethical standards. [mailto:contact@truewest-consulting.com](mailto:contact@truewest-consulting.com) ![Aaron Payne - Headshot](https://blog.truewest-consulting.com/hs-fs/hubfs/Aaron%20Payne%20-%20Headshot.jpg?width=1575&height=1575&name=Aaron%20Payne%20-%20Headshot.jpg) ## Aaron Payne Consultant **Aaron Payne** is an IT Infrastructure and Cybersecurity specialist with deep experience leading technology transformation efforts within the financial services sector. In recent years, he has helped RIAs and FMOs modernize disjointed and outdated IT environments - bringing them into alignment with regulatory expectations and operational best practices. His work focuses on building secure, well-governed systems that support business growth, reduce risk, and hold up under regulatory and audit scrutiny. [mailto:deshaunne.kurulak@truewest-consulting.com](mailto:deshaunne.kurulak@truewest-consulting.com) ![David Lewien](https://blog.truewest-consulting.com/hs-fs/hubfs/David%20Lewien.jpg?width=1575&height=1575&name=David%20Lewien.jpg) ## David Lewien CEO - Go West IT David Lewien is the founder and CEO of Go West IT in Greenwood Village, Colorado. Founded in 2010, Go West IT is the security obsessed Managed Service Provider that expertly guides businesses to opportunity and protects them from harm in the digital frontier. [mailto:david.lewein@truewest-consulting.com](mailto:david.lewein@truewest-consulting.com) ![Mark Brown](https://blog.truewest-consulting.com/hs-fs/hubfs/Mark%20Brown.jpg?width=1575&height=1575&name=Mark%20Brown.jpg) ## Mark Brown Founder - Advisor Armor Mark Brown is the founder of Advisor Armor [mailto:deshaunne.kurulak@truewest-consulting.com](mailto:deshaunne.kurulak@truewest-consulting.com) ![Bridget-Katz](https://blog.truewest-consulting.com/hs-fs/hubfs/Website%20Imagery/Headshots/Bridget-Katz.jpeg?width=2400&height=2400&name=Bridget-Katz.jpeg) ## Bridget Katz  Project Manager and Onboarding Associate  As a Project Manager and Onboarding Associate with True West, Bridgetbrings over 20 years of extensive experience in the financial industry, specializing in serving large RIAs and their high-net-worth clients. In addition to serving RIAs, she led the onboarding advisor experience for a TAMP, demonstrating her expertise in streamlining client and advisor onboarding processes. Passionate about delivering end-to-end onboarding solutions, Bridget has successfully managed onboarding for multiple RIAs, supporting hundreds of users by ensuring seamless system access, compliance, and comprehensive training. Additionally, she has overseen client service operations, optimized systems, and aligned departmental efforts to ensure every client interaction reflects the highest standards of service. [mailto:bridget.katz@truewest-consulting.com](mailto:bridget.katz@truewest-consulting.com) ![Anna-Burdine](https://blog.truewest-consulting.com/hs-fs/hubfs/Website%20Imagery/Headshots/Anna-Burdine.jpeg?width=2400&height=2400&name=Anna-Burdine.jpeg) ## Anna Burdine Associate Anna is a Compliance Associate at True West Consulting with five years of compliance experience. She is an accomplished financial services professional with a strong background in compliance, supervision, and advisor support on the broker dealer side of business. Prior to her current role, she worked at LPL Financial as a supervisory principal on the advisor review team where she held her Series 7 and 24 licenses. Now with True West, she is excited to draw on her broad industry expertise as she transitions to supporting RIAs. 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