Cybersecurity Safeguards & Regulation S-P Compliance
Meet the SEC's amended Regulation S-P requirements — now fully in effect after the December 2025 and June 2026 compliance dates. Written cybersecurity policies, incident response tracking, vendor risk management, and breach notification workflows — purpose-built for investment advisers and broker-dealers.
In Effect
Status
30 Days
Notification Window
Risk-Tiered
Vendor Management
The SEC Has Raised the Bar on Cybersecurity
Amended Regulation S-P creates new, enforceable obligations for every registered firm.
The SEC's 2024 amendments to Regulation S-P go far beyond the original Safeguards Rule. Firms must now maintain written cybersecurity policies, implement incident response procedures with specific notification timelines, and conduct risk-based oversight of third-party service providers. Both compliance dates have now passed — December 3, 2025 for larger entities and June 3, 2026 for smaller entities — and Regulation S-P is a 2026 SEC examination priority, so firms that are not compliant face enforcement action, fines, and reputational damage.
How It Works
From assessment to continuous monitoring
Assess
Evaluate current cybersecurity posture and identify gaps against amended Reg S-P requirements. Map existing controls to regulatory expectations.
Implement
Deploy written cybersecurity policies, incident response procedures, and vendor oversight controls using pre-built templates and guided workflows.
Detect & Respond
Track incidents with automated 30-day customer notification countdowns and 72-hour vendor breach windows. Document every action taken.
Monitor & Report
Continuous compliance dashboards, audit trail logging, and exam-ready documentation. Always know where your firm stands.
Key Capabilities
Purpose-built for Reg S-P compliance
Written cybersecurity policies and procedures
Incident response plan tracking and management
30-day customer notification countdown timer
Vendor risk tiering and categorization
Vendor due diligence questionnaire management
72-hour vendor breach notification tracking
Real-time compliance status dashboard
Pre-built Reg S-P policy templates
Regulations Covered
Cybersecurity and data protection regulatory frameworks
Regulation S-P Is Now In Effect — and Examiners Are Checking
The SEC's amended Regulation S-P requires all registered investment advisers and broker-dealers to have written cybersecurity policies, incident response procedures, and vendor oversight programs in place. With both compliance dates now passed and Reg S-P named a 2026 SEC examination priority, firms that fall short face enforcement action, fines, and reputational damage.
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