Regulation S-P, handled.
The SEC's amended Regulation S-P takes effect for advisory firms under $1.5 billion in assets on June 3, 2026. CurrentClient already maintains the safeguards and 72-hour breach notification practices your firm needs from a service provider.
What Regulation S-P asks of your vendors
The amendment requires the service providers you rely on to protect client data and tell you quickly when something goes wrong.
Safeguard customer information
Service providers must maintain reasonable administrative, technical, and physical safeguards to protect the confidentiality and security of customer information.
Notify within 72 hours
Providers must notify the advisory firm as soon as possible, and no later than 72 hours after becoming aware of unauthorized access to or use of customer information.
Cooperate and report
Providers must help investigate, mitigate, and remediate any incident, then follow up with a written report so the firm can meet its own regulatory obligations.
How CurrentClient complies
As your service provider, we are built to satisfy the obligations Regulation S-P pushes down to vendors.
- Administrative, technical, and physical safeguards protecting customer information.
- SOC 2 Type II certification, with continuous monitoring across 100+ security controls.
- A documented Incident Response Plan, Business Continuity Plan, and Disaster Recovery Plan.
- A commitment to notify your firm within 72 hours of a confirmed security incident.
Reviewing your vendor agreements? Our team is happy to discuss incident notification language that fits your firm’s compliance program.
Get the documentation for your files
Our vendor diligence package includes our Incident Response Plan, Business Continuity Plan, Disaster Recovery Plan, and access to our SOC 2 Type II report. Everything you need to document CurrentClient as a Regulation S-P service provider.
Not yet a customer? Request an access code from help@currentclient.com.
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