SEC Regulation S-P
Compliance Assessment
Helping investment firms understand their compliance posture and close gaps before regulators do.
Engagement Process
Discovery & Planning
Meet with key stakeholders, define scope, and collect relevant documentation.
Assessment & Analysis
Assess your firm's data protection, incident response, vendor oversight, and regulatory compliance capabilities.
Gap Identification
Evaluate findings against Regulation S-P requirements and identify areas of risk.
Executive Reporting
Deliver a comprehensive assessment report, prioritized recommendations, and an executive presentation of results.
What to Expect During Your Assessment
Our SEC Regulation S-P Compliance Assessment is designed to provide a clear understanding of your firm's current compliance posture and identify any gaps that may expose the organization to regulatory, operational, or cybersecurity risk.
The assessment is typically completed within 3 - 4 weeks, depending on the size of the firm and the availability of documentation.
The engagement begins with interviews with key stakeholders to understand your business operations, technology environment, service providers, and existing compliance efforts. We then review policies, procedures, vendor management practices, incident response capabilities, and the controls used to protect customer information.
Throughout the assessment, we work collaboratively with your leadership team, compliance personnel, and technology providers to gather information and evaluate your firm's readiness against the requirements of the amended SEC Regulation S-P.
At the conclusion of the engagement, you will receive:
- Executive Summary of findings
- Regulation S-P Compliance Gap Analysis
- Risk-ranked findings and observations
- Prioritized remediation roadmap
- Executive presentation of results and recommendations
Our goal is to provide practical, actionable guidance that helps leadership understand where risks exist, what actions should be prioritized, and how to strengthen the firm's overall compliance posture.
Ready to assess your compliance posture?
Let's talk about your SEC Reg S-P readiness.