Reg S-P Archives

Webinar Recap: Regulation S-P, Cybersecurity, and AI

Upcoming compliance dates for the SEC’s adopted amendments to Regulation S-P pose changing requirements for investment advisers.

May 27, 2025

Tags: Cybersecurity, Reg S-P

IAA Shares Regulatory Priorities with new SEC Chairman Atkins

The IAA has submitted a letter to SEC Chairman Atkins outlining the IAA’s regulatory priorities.

May 02, 2025

Tags: Paul Atkins, Reg S-P, SEC

IAA Supports SEC Proposal on Protection of Client Information with Recommended Changes

The IAA supports the SEC proposal to expand rules that protect privacy of investor information with recommended changes.

June 05, 2023

Tags: Privacy, PII, Reg S-P, SEC

10 Tips for Making Your Firm Cyber-Prepared

Cybersecurity is on the SEC’s mind. Not only is cyber risk management a rulemaking priority, but information security and operational resiliency is also a 2023 priority for the Division of Examinations. Here are tips from CCOs on becoming cyber-prepared.

April 12, 2023

Tags: Cybersecurity, Red S-ID, Reg S-P

SEC Case Spotlights Safeguarding and Disposal of Personal Information, Vendor Oversight

The SEC charged a large dual registrant with PII safeguarding and disposal deficiencies, in violation of Regulation S-P.

September 23, 2022

Tags: Dual Registrant, Reg S-P, SEC Enforcement

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