Registered Investment Advisors

What arrives

Reg S-P
SEC Regulation S-P, 17 CFR 248.30. Written administrative, technical and physical safeguards for customer information, including an incident response program.
Source
The 30-day notice
SEC Regulation S-P amendments, 2024. Notice to affected individuals as soon as practicable, and no later than 30 days after learning of unauthorized access to customer information.
Source
The service provider clause
17 CFR 248.30(a)(5). Oversight of service providers, which notify the firm no later than 72 hours after a breach of a customer information system they maintain.
Source
Reg S-ID
SEC Regulation S-ID, 17 CFR 248.201. A written Identity Theft Prevention Program for firms that offer or maintain covered accounts.
Source
The annual review
Advisers Act Rule 206(4)-7, 17 CFR 275.206(4)-7. A review, at least annually, of compliance policies and procedures and how well they work.
Source
Hands on a tablet showing bar charts, beside a calculator, a pen and a ring binder.

Request an Introduction