Data Disposal for RIAs: More Than Shredding Old Files
Most advisors know you’re supposed to destroy old client records. But under the new Reg S-P amendments, the rules are tighter—and they extend to your ...
Customer Notifications: What RIAs Need to Say—and When—After a Breach
You had a breach. Now what? Under Reg S-P, if client data was (or might’ve been) accessed without permission, and there’s a chance of harm, ...
Why Your IT Provider Might Be Your Biggest Reg S-P Risk
Here’s something most RIAs don’t realize: even if your IT provider is the one that drops the ball, the SEC still holds you accountable. You ...
Incident Response Plans for RIAs: Your New Must-Have Under Reg S-P
Picture this: a team member clicks a phishing email. Suddenly, your CRM data might be compromised. What do you do next? If you don’t have ...
What the Reg S-P Amendments Really Mean for RIAs (Without the Legal Headache)
Let’s be honest—compliance rules rarely make for light reading. But if you’re a registered investment advisor (RIA), the 2024 amendments to Regulation S-P aren’t something ...
