The SEC's Divisions of Examinations, Investment Management, and Trading and Markets will hold a series of three compliance outreach events to discuss the 2024 adoption of amendments to Regulation S-P. The events will be geared toward each registrant type and scheduled according to compliance deadlines published in the Regulation S-P rule amendments. The first webcast will take place on Thursday, September 25, 2025, at 1:00 p.m. ET. The event is open for the public to attend via webcast on the SEC's website. Though not required for this event, prior registration is preferred.
At this event, SEC staff will highlight large firms and offer guidance on the new Regulation S-P compliance obligations and how to interact with an exam team during an examination. The outreach also will include a time for answering participants’ compliance questions, which may be submitting prior to the event.
The event’s panels will feature the following:
- Historical discussion of Regulation S-P and the rule’s new provisions
- Divisions of Examinations’ approach moving forward, including a discussion of potential Risk Alerts and other SEC publications
For more information, including further panel details and instruction on registration and how to submit questions, please see the event’s webpage on the SEC’s website.
Source:
Compliance Outreach on Regulation S-P (sec.gov)
