? KEY TAKEAWAYS Reg S-P does NOT require written contracts (contrary to what some say) But you DO need “reasonably designed” policies to ensure vendor compliance Written commitments (contract, email, […]
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 vendors, too. Let’s talk about […]
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, you have 30 days to […]
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 Can Outsource Tasks—Not Liability That’s […]
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 a written incident response plan […]
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 you can skim and forget. […]
2024 And 2025 Finalist
2024, 2025 and 2026 Finalist
