Free Reg S-P Compliance Templates
for Solo & Small RIA Firms
Download all five required compliance document templates. Start your path to SEC exam readiness today.
Most Small RIAs Aren't Ready for a Reg S-P Exam
The SEC amended Regulation S-P with stricter requirements that apply to every registered investment adviser, regardless of size. The compliance deadline is June 3, 2026.
Template Documents Won't Pass
Generic Reg S-P templates don't reflect your firm's actual operations, vendor relationships, or data flows. The SEC checks for firm-specific detail.
Solo Firms Face the Same Rules
There is no small-firm exemption. A one-person RIA managing $50M has the same Reg S-P obligations as a 200-person firm managing $50B.
Vendor Contracts Need Addenda
The amended rule requires signed 72-hour breach notification addenda from every covered service provider with access to client data.
Your Complete Reg S-P Compliance Package
Five document templates covering every requirement of the amended Regulation S-P.
Written Information Security Policy (WISP)
Your firm's comprehensive security policy covering administrative, technical, and physical safeguards. Written to reflect your actual infrastructure and operations.
- Access controls and authentication procedures
- Data classification and handling policies
- Employee security obligations
- Physical security measures
Incident Response Plan (IRP)
Step-by-step procedures for detecting, containing, and responding to security incidents. Includes the SEC's required 30-day customer notification framework.
- Incident classification and escalation procedures
- 30-day notification timeline and templates
- Breach containment and remediation steps
- Post-incident review process
Vendor Management Program
Due diligence framework for assessing and monitoring every third-party service provider with access to client personal information.
- Vendor risk assessment methodology
- Ongoing monitoring procedures
- Covered service provider identification
- Annual review requirements
72-Hour Breach Notification Addenda
Pre-drafted contract addenda requiring every covered service provider to notify you within 72 hours of a security breach. Covers the 20 most common RIA vendors.
- Custodian notification addenda
- Technology vendor addenda
- Cloud storage and CRM addenda
- Ready to send on Day 1
Privacy & Safeguards Notice
Updated client-facing privacy notice that meets the amended Reg S-P disclosure requirements for how personal information is collected, used, and protected.
- Reg S-P compliant privacy disclosures
- Information sharing practices
- Opt-out rights and procedures
- Annual delivery procedures
Get Your Free Reg S-P Compliance Templates
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Common Questions
No. Every SEC-registered investment adviser is subject to Regulation S-P, regardless of firm size or assets under management. A solo RIA managing $50 million has the exact same compliance obligations as a large firm. The amended rule provides no exemptions for small firms.
The SEC will evaluate your compliance during routine and for-cause audits. Non-compliance can result in deficiency letters, enforcement actions, fines, and reputational damage. The SEC has publicly stated that Reg S-P compliance is an audit priority for 2026.
Generic templates don't reflect your firm's actual operations, vendor relationships, or data handling practices. SEC auditors specifically look for firm-specific detail. A template that says "insert vendor name here" will be flagged immediately. Our documents are written from scratch based on your firm's actual infrastructure.
We've built a specialized process focused exclusively on Reg S-P compliance for small RIAs. Our consultation captures the specific information needed, and our team uses proven frameworks refined across hundreds of engagements. Every document is individually written and customized to your firm, and our expertise means we do it efficiently.
Yes, you'll send the addenda to your vendors, but we make it simple. The package includes pre-drafted addenda for the 20 most common RIA vendors (custodians, CRM providers, portfolio management platforms, cloud storage, etc.) along with email templates and instructions. Most clients complete this process in a single afternoon.
Need Help Going From Templates to Audit-Ready?
Templates are a great starting point, but passing an SEC exam requires firm-specific customization, actual deployment, and documented evidence. That's what we do. Schedule a free consultation and we'll show you the gap between where you are and where you need to be.
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