Is Your Firm Ready for Amended Regulation S-P?

Most RIAs Aren't — But the Deadline Is Here 

The SEC's amended Regulation S-P fundamentally changes how RIAs must protect client data and oversee vendors. With compliance deadlines already in effect for large firms and fast approaching for smaller ones, now is the time to assess your readiness. 

Download our free guide The Regulation S-P Reckoning: Why Most RIAs Aren’t Ready – and What Comes Next to help your firm prepare for this major regulatory change. 

Inside the Guide 

• What the amended rule changes. Find out what the new requirements mean in practice, how they build on existing obligations, and where RIAs are most likely to feel the operational impact. 

• Why regulators are paying closer attention. Learn what the SEC is saying about planned enforcement as well as recent enforcement activity and high-profile incidents focused on preparedness, response timelines, and oversight when client data is involved. 

• Where RIAs commonly fall short. Discover the common gaps examiners see — particularly in service-provider reporting, testing evidence, and record retention — and why those gaps matter. 

• A practical way to evaluate your Reg S-P readiness. Explore readiness considerations based on firm size and quickly identify strengths, weaknesses, and areas that need attention with an readiness assessment checklist. 

• How to build a more defensible program. Get a forward-looking view of what sustainable compliance looks like under amended Regulation S-P and how technology to create consistency, accountability, and exam-ready documentation. 

Amended Regulation S-P isn't just another compliance update — it's an operational reset that extends your obligations deep into your vendor ecosystem. Make sure you’re prepared with this guide. 

About the Author 

Shannon Hull, IACCP®, CAMS®, CTFA®, brings more than 35 years of experience in investment adviser and broker-dealer compliance experience to Ncontracts, where she helps RIAs interpret evolving rules, prepare for exams, and build compliance programs that work in the real world. 

Before joining the company, she spent 12 years in compliance and client service at a standalone RIA (~$20b AUA). Her career includes compliance and operational leadership roles at several dually-registered firms. She has a Master of Legal Studies from Texas A&M University School of Law and holds multiple compliance-related designations.