IAA/K&L Gates Sample Regulation S-P Compliance Policy
This is a sample compliance policy for Regulation S-P.
October 13, 2025
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This Compliance Guide discusses Regulation S-P, procedures and controls to consider, and other privacy-related laws.
October 13, 2025
FAQs for SEC’s Data Privacy (Reg S-P) Rule Requirement
These FAQs discuss the 2024 amendments to Regulation S-P and how they affect investment advisers.
September 12, 2025
IAA Calls on SEC for More Time on Reg S-P
The IAA has submitted a letter urging the SEC to extend the compliance date for Regulation S-P and to consider refinements to the rule.
July 30, 2025
U.S. State Comprehensive Consumer Data Privacy Law Comparison
This article from Foley & Lardner includes a link to information about state consumer data privacy laws.
July 01, 2025
State Data Breach Notification Laws
This article from Foley & Lardner includes a link to information about state data breach notification laws.
June 02, 2025
The IAA and other trade groups requested a 12-month extension of the compliance dates for the amendments to Regulation S-P.
April 25, 2025
2025 Sample Examination Letter – Boston
This is a sample SEC routine examination letter from Boston that also includes questions on cybersecurity, investments not held by a qualified custodian, and an acquisition.
January 01, 2025