Compliance Insights
Practical guidance on SEC Regulation S-P compliance for small registered investment advisers. Written by compliance professionals who understand the reality of running a small RIA.
Reg S-P Compliance Readiness Checker
Take our 3-minute assessment to find out how ready your firm is for an SEC examination now that Reg S-P is in force.
Regulation S-P Breach Notification Requirements Explained
The amended Reg S-P requires RIAs to notify affected clients within 30 days of detecting a breach. Here is exactly what triggers the clock, who must receive notice, and what the notice must say.
What SEC Examiners Look For in a Reg S-P Examination
Reg S-P is a named SEC FY2026 exam priority. Here is what examiners request, the deficiencies they cite most, and how to get your RIA exam-ready.
Reg S-P and Your Annual Rule 206(4)-7 Compliance Review
Now that Reg S-P is in force, it must be part of every RIA's annual Rule 206(4)-7 compliance review. Here is exactly what to test, document, and update each year.
Reg S-P Cybersecurity Controls: What Every RIA Must Implement
Complete guide to Reg S-P cybersecurity controls for RIAs. Covers encryption, MFA, access controls, and more now that the rule is in force.
How to Conduct a Reg S-P Cybersecurity Risk Assessment for Your RIA
Step-by-step guide to conducting a Reg S-P cybersecurity risk assessment for your RIA. Covers the 5-step process, risk matrix, and SEC documentation requirements.
Reg S-P Compliance for Solo RIAs: The One-Person Firm's Complete Guide
Solo RIA compliance guide for SEC Reg S-P. Practical steps, real costs, and exact requirements for one-person investment advisory firms.
How to Build a Reg S-P Incident Response Plan: A Step-by-Step Guide for RIAs
Build an SEC-compliant Reg S-P incident response plan for your RIA. Step-by-step guide with templates, timelines, and tabletop exercises.
Missed the Reg S-P Deadline: What SEC Enforcement Looks Like Now
The Reg S-P compliance deadline has passed and the rule is now in force. Here's what the SEC can do if your RIA is not compliant, from deficiency letters to enforcement actions and financial penalties.
SEC Reg S-P Vendor Management: What Your Firm Must Document
The amended Regulation S-P requires RIAs to document oversight of every vendor that touches client data. Here's what SEC examiners expect and how to build a compliant vendor management program.
The 4 Documents Every RIA Needs Under Amended Reg S-P
The SEC's amended Regulation S-P requires 4 specific policy documents from every RIA. Here's what each one must contain and how to get compliant now that the rule is in force.
How Ready Are You for Reg S-P? Take Our Free Compliance Assessment
Most small RIAs do not know where they stand on Regulation S-P compliance. Our free readiness checker evaluates your firm across all four compliance areas in under 3 minutes.
SEC Regulation S-P: What Small RIAs Need to Know Now It Is In Force
A practical guide to the amended SEC Regulation S-P requirements for small registered investment advisers. Covers the now-passed compliance dates, key changes, and what documents you need.
The True Cost of Reg S-P Compliance: DIY vs Consultant vs RegShield
What does Reg S-P compliance actually cost? We break down DIY, hiring a consultant, and using RegShield so you can make the right choice for your firm.