SEC Reveals Key Review Focus for FY 2027, Emphasizing Tokenization and Emerging Technology Risks

The U.S. Securities and Exchange Commission (SEC) announced on October 23 its key review focus for the fiscal year 2027, highlighting areas such as fiduciary duty of investment advisers, protection of retail investors, private funds and private credit, anti-money laundering, cybersecurity, and protection of customer information. The SEC will pay special attention to the evolution of tokenization and related market infrastructure, as well as the impact of advanced technologies like superintelligence on market operations, compliance management, fraud prevention, and investor protection. The SEC stated that the aforementioned focus areas do not constitute a complete list of review matters for the new fiscal year, and the review department will dynamically adjust its review direction based on market changes, investor concerns, and the development of emerging technologies, new products, and services, while requiring regulated entities to maintain a compliance system that aligns with their business risks.

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