RIAs with less than $1.5B in AUM must comply with the new amendments to SEC Regulation S‑P as of June 3, 2026. Regulation S-P has been designated as a 2026 examination priority. If you haven’t yet taken steps to comply, now is the time.
With the June 3 deadline approaching, we wanted to share the following resources to support your preparation.
- Article | 90-Day Warning: Regulation S-P Amendments Compliance Deadline Approaching for Smaller Entities
- Article | SEC Amends Regulation S-P to Require Data Breach Notifications and Additional Written Policies
- Webinar | Regulation S-P Amendments: How Advisers Should Prepare for the Compliance Date
We maintain written policies and procedures designed to comply with the new requirements and are happy to tailor a compliance program for your specific needs.
Please contact an attorney in the Investment Management Group at Seward & Kissel LLP if you have any questions regarding Regulation S-P.