The SEC's Division of Examinations is examining compliance with the amended Regulation S-P requirements. Industry reports also indicate that document request letters have been issued in what appears to be a sweep examination of registered investment advisers. The reported request is fairly straightforward..

We've published a white paper on one of the most misread provisions in the amended Regulation S-P: Service Provider Breach Notification Under the Final Regulation S-P Amendments. Reg S-P requires firms to ensure their service providers notify them as soon as possible, and no later than 72 hours…

Many investment advisers rely on a managed service provider, or MSP, to maintain their technology and protect their systems. A qualified IT provider can be an important part of a firm's cybersecurity strategy.

With the June 3, 2026 compliance deadline approaching, registered investment advisers with less than $1.5 billion in assets under management should be taking steps now to ensure they can meet the SEC’s amended requirements under Regulation S-P.

The SEC’s 2026 Examination Priorities arrive in a deregulatory environment, but that does not mean that firms can relax. It's quite the opposite: The priorities signal a renewed emphasis on fundamentals, paired with heightened scrutiny of emerging risks that directly affect retail investors.

The compliance deadline for the Securities and Exchange Commission's amended Regulation S-P is fast approaching, requiring financial institutions to meet new safeguards for customer data privacy and incident response.

The Securities and Exchange Commission charged a registered investment advisor with failing to comply with Regulation S-P requirements, and more enforcement actions are expected now that updates to the rule have kicked in, compliance consultants said.

The compliance deadline for the Securities and Exchange Commission's amended Regulation S-P is fast approaching, requiring financial institutions to meet new safeguards for customer data privacy and incident response.

Experts told Citywire cybersecurity risks are only rising, something many RIAs are not adequately prepared to handle.

This remarkable recognition, announced at the 2025 T3 Conference in Dallas, Texas, validates what thousands of financial advisors already know: when it comes to comprehensive cybersecurity compliance, Advisor Armor delivers the expertise, technology, and regulatory guidance that matters most.