How Western Wealth Advisors Detects Shadow AI Across a Decentralized RIA
Western Wealth Advisors uses Advisor Armor's software application monitoring to find AI apps on advisor devices, flag the ones its policy doesn't allow, and follow up with each advisor.
Cybersecurity & Compliance News October 2026
Recent cybersecurity, regulatory, and technology developments affecting registered investment advisers, broker-dealers, and independent financial advisors. Select a headline to read Advisor Armor's summary and practical considerations. Links to the original sources are provided for readers who want additional detail.
What the SEC's Reg S-P Sweep Letter Actually Asks For
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..
New white paper: What the Reg S-P 72-hour vendor breach rule actually requires
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…
The SEC Isn't Just Asking Who Your IT Provider Is. It's Asking for Your Regulation S-P Compliance Program.
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.
Regulation S-P: June 3, 2026 Compliance Deadline for Smaller Investment Advisers
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.
How to Prepare for the SEC's 2026 Exam Priorities
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.
How to Right-Size Your Cybersecurity Program Under the New Reg S-P Amendments
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.
SEC Issues $325K Fine in Data-Protection Crackdown
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.