Navigating the Compliance Challenges With Amended Regulation S-P

April 01, 2026 from 2:00 PM to 3:00 PM (ET)

Amended Regulation S-P is the one rule whose compliance deadline was not moved by the new administration. The SEC reinforced its focus on this new rule during a series of webinars on the new requirements. Additionally, the compliance deadline has passed for larger entities (Dec. 3, 2025, for those with $1.5B or more in AUM), giving us insight into the Division of Examinations’ approach to Amended Regulation S-P exams and the SEC’s overall expectations for covered institutions. Whether you are a larger entity that wants to ensure your program meets these new requirements, or a smaller entity (less than $1.5B AUM) that wants to make sure you are prepared to comply, this webinar from the IAA and Fairview will help you navigate these common Amended Regulation S-P compliance challenges.

After this webinar, attendees should have a firm understanding of how to navigate some of the trickiest aspects of Amended Regulation S-P. They will leave with practical guidance such as:

What to do when service providers are either unwilling to amend their contract to provide notice within the required 72-hour notice period, or unresponsive altogether—and how to ensure compliance in these scenarios.
The difference between customer information and sensitive information, and when you must document unauthorized access versus when you must notify impacted customers.
How to respond to an incident to ensure compliance with Amended Reg S-P, including step-by-step guidance.

Registration is now closed.

CE Credit
The IAA will apply for Continuing Legal Education (CLE) accreditation from several states. For more information, please contact iaaevents@investmentadviser.org.

If you have questions about this webinar or need help registering, please contact Mike Zapata at mike.zapata@investmentadviser.org.

Webinar Speakers

Madison Dewey is a senior risk associate on Fairview’s cyber team. In this role, she advises clients on cyber- and data security-related SEC regulations and best practices, drafts cyber and data security policies and procedures, conducts testing and training, and more. She joined Fairview in 2021 as a business risk assurance associate. Prior to joining Fairview, she worked in accounting. Dewey is a member of the National Society of Compliance Professionals (NSCP), and she has served on the NSCP Publications Committee. She holds a B.A. in Accounting and Finance from Lenoir-Rhyne University, an M.S. in Cybersecurity from Marymount University, and an MBA from Marymount University.

Jeremy McCamic is the director of policy management at Fairview. In this role, he oversees a team responsible for monitoring regulatory changes and advising clients as they navigate those changes. This includes writing policies and procedures for use in compliance manuals, and developing internal and external training on new regulations and best practices. Prior to joining Fairview, Jeremy was an Associate Attorney at McPherson, Rocamora, Nicholson, Wilson & Hinkle, PLLC. McCamic is a member of the National Society of Compliance Professionals (NSCP), where he also serves on the NSCP Publications Committee. He earned his B.A. from the University of North Carolina and his J.D. from the University of North Carolina School of Law.

Tracy M. Soehle is associate general counsel at the IAA. Previously, she was managing director and senior counsel at Affiliated Managers Group, Inc. where she was responsible for overseeing AMG’s regulatory affairs and legal and compliance support of its global operations and Affiliates. Prior to joining AMG, Tracy was a senior compliance manager at State Street Global Advisors; regulatory compliance manager at Wellington Management Company LLP; and an attorney at the law firm Dechert LLP. She received a B.S. from Boston College and a J.D. from Tulane University Law School.

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