Financial Advisors & Insurance Agents
Independent RIAs, insurance producers, and agencies under SEC Reg S-P and the NAIC Model Law.
The SEC’s 2024 amendments to Regulation S-P substantially raised the bar for investment advisers, broker-dealers, and transfer agents. The NAIC Insurance Data Security Model Law — adopted in more than half of U.S. states — imposes parallel obligations on licensed insurance producers.
Both regimes now require a documented information security program, incident-notification procedures, and demonstrable third-party risk management. Small independent firms are held to the same standards as large ones; the enforcement calendar simply catches up more slowly.
Program Focus Areas
- Reg S-P written policies and 2024 amendment readiness
- NAIC Model Law compliance under state adoption
- Cybersecurity Event notification workflows
- Third-party service-provider oversight
- Customer-notification templates and legal review pathways