Is Your Firm Ready for the June 3rd SEC Deadline?
The new Regulation S-P Safeguard Rules are no longer optional. For RIAs under $1.5B AUM, the clock is ticking. We provide the done-for-you expertise you need to protect your clients—and your license.
The $100,000 Risk of "Stale" Compliance
Most RIAs have a privacy policy from 2019. That won't pass an audit in 2026. The SEC now requires active, documented evidence of:
- The 72-Hour Rule: Your vendors (CRMs, Custodians, Portals) must notify you of a breach within 72 hours—by contract.
- The 30-Day Rule: You must have a pre-set protocol to notify clients within 30 days of a data incident.
- The Disposal Rule: Documented, 5-year logs of how you securely destroy old client data.
- Third-Party Data Shield: Protection for non-public information received from other firms, not just your own.
- Ongoing Oversight: A shift from "annual checks" to continuous monitoring of your tech stack's security.
We take your firm from "Empty Audit Folders" to "SEC Ready" in 30 days.
Step 1: The Safeguard Rescue (One-Time Setup)
We build your Written Incident Response Program (IRP) from scratch. We audit your top 10 vendors, ensuring they are contractually obligated to notify you of breaches within the 72-hour window.
Step 2: The Security Pulse (Quarterly Monitoring)
We don't just "set it and forget it." Every 90 days, we run dark web credential scans for your staff, verify MFA status across your tech stack, and generate a Security Readiness Report for your compliance file.
Step 3: The Evidence Vault
If the SEC walks in, you don't scramble. We maintain a digital "Evidence Vault" of every scan, every vendor check, and every training log, ready for immediate review.
Cybersecurity Built for the Fiduciary
We bridge the gap between Information Technology and SEC Regulation. Based in Boston, we specialize in helping Massachusetts-based RIAs navigate the complex intersection of data security and fiduciary duty.
Connect With Our Experts Today
Contact Shield & Pulse Compliance for tailored cybersecurity solutions in Boston.