Free Compliance Resource
June 3, 2026 deadline — RIAs under $1.5B AUM

Free SEC Reg S-P
Compliance Checklist
for RIAs

The 10-item checklist maps every requirement of the amended SEC Regulation S-P to a concrete written deliverable. Know exactly what you need before the June 3 deadline — and what your gaps are.

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10-item checklist with a concrete deliverable for each Reg S-P requirement
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Printable format — use it during your internal compliance review
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Covers written IRP, 30-day notification, vendor oversight, and all 7 other requirements
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Identifies what gaps look like to an SEC examiner — so you can close them first
SEC-registered RIAs only
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What's Inside

What the Checklist Covers

Every item in the checklist maps to a specific Reg S-P requirement and specifies the exact written artifact an SEC examiner would look for.

Item 01
Written Incident Response Program
Detection, containment, eradication, recovery phases documented with named personnel assignments.
Item 02
30-Day Notification Procedures
Written decision criteria, notification template, and escalation chain for breach events.
Item 03
Vendor Oversight Program
Written policy covering all customer-data-touching vendors, security questionnaires, and contractual safeguards.
Items 04–06
Technical Controls
Data inventory, encryption documentation (at rest + in transit), and access control / MFA policies.
Items 07–08
Operational Controls
Annual training program with completion records, and data retention / secure disposal procedures.
Items 09–10
Annual Review + Recordkeeping
Documented annual program review with findings, and a central document repository for examination readiness.