The Regulation S-P Privacy Policy Roadmap: How RIAs and Broker-Dealers Can Protect Their Firms, Supervised Persons 

The SEC’s amendments to Regulation S-P, effective December 31, 2025 for large firms and June 30, 2026 for small firms, make it clear: a privacy policy must do more than disclose information-sharing practices. 

It must prove that your firm can safeguard data, respond to breaches, and protect both clients and supervised persons. This guide will walk you through the steps to building a privacy policy that truly protects your firm and keeps you compliant.