Advisers hold exactly what criminals want: account numbers, Social Security numbers and the details needed for wire fraud. We give RIAs the secure file sharing, protected devices and recovery plans that the amended Regulation S-P expects.
Clients, custodians and regulators all want to know how their information is protected.
A single leaked statement or tax return can end a relationship built over decades. More clients now ask how their data is protected before they sign.
Wealth managers' files hold account numbers, SSNs and the personal details criminals need for wire fraud and identity theft.
The SEC's amended Regulation S-P now applies to registered investment advisers of every size, with firm deadlines for notice and response.
The 2024 amendments add incident response and notice duties on top of the existing safeguards rule.
to notify affected clients once sensitive customer information was, or was reasonably likely to be, accessed or used without authorization.
for your service providers to tell you about a breach of their systems. Your vendor oversight must make sure they do.
is now covered. Larger firms had to comply by December 3, 2025; advisers under $1.5B AUM by June 3, 2026.
Sources: Sidley · Parker Poe
Controls and records your CCO can point to, without slowing down advisers or clients.
Send statements, tax returns and account paperwork through password-protected, expiring links instead of email attachments.
See Secure File Share →Encrypted, patched and monitored laptops and desktops, with remote wipe if a device is lost.
Workstation support →Versioned, encrypted backups so client records can be restored after a mistake or ransomware.
Backup & storage →Hardened email with multi-factor login to cut the phishing and account takeovers behind most wire fraud.
Cloud applications →Managed firewalls, segmented Wi-Fi and monitoring for your office and remote advisers.
Network & wireless →Inventory and policy for AI note-takers and assistants that touch client information.
AI governance →No single product does. It supplies controls and records your program relies on: encryption, two-step login, access logs and revocable links. Your written policies, incident response program and vendor oversight remain your firm's responsibility.
No. Clients open a password-protected link in any browser, on any device. Your team works from the web, desktop or phone apps.
Yes. We handle the technical controls and records, and work alongside whoever owns your compliance program so the two line up.
Smaller advisers have been fully covered by amended Reg S-P since June 3, 2026. We size the setup to your headcount and how you work with clients today.