Is your firm ready for an SEC exam today?

The amended Regulation S-P is now in force for firms under $1.5B AUM. This free checklist turns the requirements into a worksheet you can hand to your compliance officer — including the exact documents examiners request.

What's inside

  • Risk assessment: the data inventory, data flow map, and risk matrix examiners expect
  • The four required components of your incident response program
  • Vendor oversight: the 72-hour notification clause your contracts need
  • Recordkeeping and monitoring: the 5-year documentation and logging bar
  • The six-item document list SEC examiners request on arrival

Built by the SIMAPTIC team — automated security assessments mapped to NIST 800-53 and MITRE ATT&CK for RIAs. Prefer to talk it through? Book a free consultation.