You Can't Outsource the Risk: Reg S-P and Vendor Oversight

Episode notes

The SEC's amended Regulation S-P raises the bar on how investment advisors protect customer data - and the compliance timeline isn't moving. In this episode of the Ncast, Rafael DeLeon sits down with Tracy Soehle, Associate General Counsel at the Investment Advisors Association, to work through what the rule demands in practice: building an incident response program, meeting the 30-day notification requirement, and managing service providers in a regulatory environment that still leaves a lot open to interpretation.For RIAs, this isn't just a compliance exercise.

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