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The Reg S-P Evidence Vault Kit
Everything your RIA needs to meet the June 3, 2026 compliance deadline. Includes 6 ready-to-use templates plus the evidence checklist SEC examiners look for.
Meet the June 3, 2026 Reg S-P deadline with confidence
6 ready-to-use templates you can customize in minutes
Includes the exact evidence checklist SEC examiners request
Covers incident response, customer notification, and vendor oversight
Built for RIAs under $1.5B in AUM, not generic compliance advice
Used by 50+ financial firms across the Southeast
SEC Reg S-P Aligned
Built for RIAs
6 Templates Included
Trusted by 50+ Firms
Trusted by financial advisors across the Southeast · Microsoft Partner · Serving 50+ Financial Firms
What's Inside
Everything You Need for Your Reg S-P Compliance File
Written Incident Response Plan
A complete IRP template covering detection, response, and recovery procedures. The first document any SEC examiner will ask to see.
Customer Notification Letter
Ready-to-customize letter template designed to meet the 30-day customer notification requirement after a breach.
Vendor Breach Notification Addendum
Contract language that requires your service providers to notify you within 72 hours of a breach. Ready to add to every vendor agreement.
Data Disposal Log
A simple log template to document every disposal event and prove proper handling of customer information.
Quarterly Security Review Records
A repeatable review template so you have a clean, chronological paper trail filed each quarter.
Reg S-P Evidence Checklist
The master checklist mapping every required document to Reg S-P, so you know exactly what's done and what's missing.
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