How Long Does Reg S-P Compliance Actually Take? The Honest Timeline for Small RIAs
The Question Behind the Question When a small RIA principal asks “how long does Reg S-P compliance take?” what they are really asking is: “How...
Read Article
Insights & Guides
MSP Accountability Blog
Expert insights, practical guides, and industry analysis to help you evaluate your managed service provider and ensure you're getting what you pay for.
What Does a Complete Reg S-P Compliance Package Actually Include?
Five Documents. Defined Requirements. No Ambiguity. What do you actually need to have? Under amended Reg S-P, the answer is five specific documents. No more,...
Read Article
Reg S-P Compliance Cost Comparison: DIY, Attorney, Consultant, or Package?
The compliance market for small RIAs has historically offered two choices: cheap templates that fail examination scrutiny, and expensive professional engagements designed for larger firms...
Read Article
What Happens If Your RIA Firm Fails an SEC Reg S-P Examination?
The Question Every RIA Principal Is Avoiding In a solo or small RIA practice, the CCO and the principal are often the same person; which...
Read Article
5 Signs Your RIA Firm Is Not Reg S-P Compliant
The Compliance Gap Most RIA Principals Don’t Know They Have The SEC’s amended Regulation S-P (Release No. 34-100155) goes into full effect for firms under...
Read Article
The Vendor Contract 72-Hour Notification Requirement: The Reg S-P Clause Your RIA Probably Doesn’t Have
Ask most RIA advisors about their Reg S-P compliance gaps and they will focus on the Incident Response Plan or the privacy notice. Those are...
Read Article
Reg S-P’s 30-Day Customer Notification Requirement: What RIAs Must Do After a Data Breach
When a data breach occurs at your RIA firm, or at a vendor holding your client data, you have 30 calendar days to notify affected...
Read Article
What Is an Incident Response Plan (IRP) and Does Your RIA Firm Actually Have One?
Most RIA firms, when asked whether they have an Incident Response Plan, say yes. Then an SEC examiner asks to see it, and one of...
Read Article
The June 3, 2026 Reg S-P Deadline: What RIA Firms Need to Do Before Time Runs Out
June 3, 2026 is a hard deadline. Not a soft guidance date. Not a “best practice target.” A regulatory compliance deadline with enforcement consequences attached...
Read Article
What Is SEC Reg S-P and Why Every Small RIA Needs to Care Right Now
There is a regulation sitting in your compliance inbox right now that most small RIA firms are either ignoring or misunderstanding. That regulation is SEC...
Read ArticleReady to Hold Your MSP Accountable?
Schedule your free consultation and discover how we can help you get the IT services you deserve.