Compliance deadline looms for amended Regulation S-P

November 27, 2025

📝Editor’s Note

Regulatory deadlines emerging this quarter serve as a sharp reminder — compliance regimes never pause. As firms prepare for year-end reporting, being alert to new requirements could spare them big disruption.

Compliance deadline looms for amended Regulation S-P

Most investment advisers and other financial entities must comply with the amendments to Regulation S-P by December 3, 2025. The changes mandate that firms adopt written policies and procedures to safeguard nonpublic personal information, set up incident-response programs, notify individuals in case of a data breach or unauthorized access (within 30 days), securely dispose of consumer data, and maintain detailed records of policies and incidents.

Key takeaway: Firms must act now to align their data-protection, notification, and record-keeping practices with Regulation S-P or face regulatory scrutiny.

✅ Best Practice Spotlight

Focus on Documentation

  1. Maintain a central inventory of all systems and third-party service providers that store or process personal customer data.

  2. Draft clear data-protection policies covering data collection, access control, retention and disposal.

  3. Define and document a response plan for data breaches — including roles, timelines and notification protocols.

  4. Periodically audit service-provider compliance, especially when they handle sensitive customer information.

🛠️ Tool of the Week

Salesforce Net Zero Cloud

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Key features:

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🌟 Leader Spotlight

Polymarket secures full U.S. regulatory approval

Polymarket has received complete approval from the Commodity Futures Trading Commission, marking its shift from a grey-area crypto platform to a fully recognised U.S. futures exchange. The move shows how firms operating in emerging markets can benefit from regulatory clarity, which strengthens market credibility and expands access to institutional users.

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