About RegShield
RegShield exists because small registered investment advisers deserve compliance tools that match the way they actually work: lean, fast, and without the overhead of a Big Four engagement.
The SEC amended Regulation S-P in 2023, expanding requirements around incident response planning, vendor oversight, breach notification, and recordkeeping. Compliance is mandatory by June 3, 2026. For large firms with in-house compliance teams, this is routine. For the thousands of small RIAs managing a handful of advisers and limited budgets, it is a serious burden.
What RegShield Does
RegShield generates the four core policy documents required under the amended Regulation S-P, tailored to your firm's size, structure, and data practices. You answer a short questionnaire, and we produce SEC-ready documents in minutes.
Incident Response Plan
A written plan for detecting, responding to, and recovering from security incidents involving customer information.
Vendor Oversight Policies
Policies and procedures for assessing, monitoring, and managing third-party service providers who access customer data.
Breach Notification Templates
Notification procedures and templates for timely disclosure to affected individuals when a breach occurs.
Recordkeeping Procedures
Documentation protocols that satisfy SEC examination requirements and demonstrate ongoing compliance.
Why Trust RegShield
RegShield's document templates are built from the actual text of SEC Rule 248.30 and the 2023 amendments, cross-referenced with published SEC guidance, examination priorities, and enforcement actions. Every generated document cites the relevant regulatory provisions.
We are not a law firm, and RegShield does not provide legal advice. What we provide is a high-quality starting point: documents that reflect the regulatory requirements and can be reviewed by your legal counsel before adoption. For small RIAs that would otherwise be starting from a blank page, this saves weeks of work and thousands of dollars in legal fees.
The content on this site, including our Insights articles, is written and reviewed by professionals with direct experience in SEC compliance for small advisory firms. We prioritise accuracy, cite primary sources, and clearly distinguish between regulatory requirements and best practices.
About the Founder
Rees Calder
Founder, RegShield
Rees is the CEO of Levity Leads Ltd and the creator of RegShield. With a background in technology and financial services marketing, he builds tools that make complex regulatory requirements accessible to small firms. RegShield was born from a straightforward observation: small RIAs face the same SEC compliance requirements as billion-dollar firms but lack the resources to meet them efficiently.
Company Information
RegShield is a product of Levity Leads Ltd, a company registered in England and Wales.
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Generate your SEC Regulation S-P compliance documents in minutes. The June 2026 deadline is approaching.
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