Secure Wealth IT

The vendor questionnaire and 72-hour addendum language for Reg S-P.

A vendor inventory, a security questionnaire, and sample breach notification addendum language for your counsel to review. Built around amended Regulation S-P's service provider oversight requirement.

Find out which of your vendors count as Reg S-P service providers

Spend your time where it matters with a simple three-tier risk model

Send vendors one consistent questionnaire that asks for evidence, not just yes or no

Start from sample 72-hour notification addendum language instead of a blank page

Know what to document when a vendor refuses to sign

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Free. No sales call required.

Written by Harrison Baron at Secure Wealth IT, a Charlotte, NC IT and cybersecurity firm that works with RIAs, financial advisors and broker-dealers. Built on the text of 17 CFR 248.30(a)(5) and Rule 204-2.

What's Inside

Everything in the kit

Vendor inventory with 17 common RIA vendor categories

Tiering criteria

10-section due diligence questionnaire with reviewer scoring

Sample Information Security and Breach Notification Addendum

Vendor pushback playbook

Annual monitoring checklist

Want help working through your vendor list?

You can book a free 20-minute review at https://securewealthit.com/harrison. No obligation.

Book a free 20-minute review