SEC Regulation S-P Compliance

Protect your clients’ information and keep their trust as your firm grows. IT Hawaii helps registered investment advisers and CPA firms with advisory arms across Hawaii meet SEC Regulation S-P, from the incident response program to the safeguards behind it.

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What Regulation S-P asks of your firm

SEC Regulation S-P requires broker-dealers, investment advisers and other covered financial firms to protect customer information. Its 2024 amendments added a written incident response program and notice to affected customers within 30 days of certain breaches. Since June 3, 2026, the amendments apply to smaller firms too.

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An incident response program you can use

We write your incident response program with you: how your firm finds, contains and recovers from an incident, and the steps for notifying affected customers. Then we write the policies that protect customer information day to day.

Safeguards behind the policies

We put technical safeguards in place, including multi-factor authentication, encryption, access controls and secure disposal of customer records. Choose a one-time Reg S-P Posture Improvement Project, or make it part of a cybersecurity program we build and manage with you.

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What Reg S-P help includes

Protection for client information, written down and put to work.

Binder open to an incident response program page with detect, contain, recover and notify steps

Incident response program

A written plan for finding, containing and recovering from an incident.
Customer notification checklist with every step ticked beside a desk calendar with a circled date

Customer notification steps

Clear steps for notifying affected customers after certain breaches.
Printed policy titled Safeguarding Customer Information with a signature line and a silver pen

Written policies

Policies that protect customer information and match how your firm works.
Laptop showing an encrypted client files folder beside a locked secure shredding bin

Technical safeguards

Multi-factor authentication, encryption, access controls and secure disposal.

Ready to protect your clients’ information?

Tell us about your firm. IT Hawaii helps with SEC Regulation S-P anywhere in Hawaii. A real person will reach out within one business day.

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Frequently asked questions

1
What is SEC Regulation S-P?

SEC Regulation S-P is the SEC rule that requires broker-dealers, investment advisers and other covered financial firms to protect customer information. Its 2024 amendments added requirements for an incident response program and for notifying affected customers after certain breaches.

3
Which firms does IT Hawaii help with Regulation S-P?

Registered investment advisers and CPA firms with advisory arms, anywhere in Hawaii.

5
Can we do Reg S-P as a one-time project?

Yes. You can hire IT Hawaii for a one-time Reg S-P Posture Improvement Project, or make it part of a cybersecurity program that IT Hawaii builds and manages with you.

2
When do the 2024 amendments apply?

Larger firms had to comply by December 3, 2025, and smaller firms by June 3, 2026, so the amendments now apply to covered firms of every size.

4
What Reg S-P work does IT Hawaii do?

IT Hawaii writes your incident response program, including customer notification steps, writes your policies for protecting customer information, and puts technical safeguards in place: multi-factor authentication, encryption, access controls and secure disposal.

6
Do you help with Regulation S-P outside Oahu?

Yes. IT Hawaii helps with SEC Regulation S-P compliance anywhere in Hawaii.