Reduce regulatory risk, protect customer information, and meet SEC Regulation S-P requirements with a compliance-first technology partner built for financial services.
15 minutes. Confidential. No tools. No obligation.
Coretelligent delivers integrated Reg SP compliance services that connect cybersecurity, governance, and IT operations into a defensible, exam-ready framework.
Implement cybersecurity controls aligned to SEC Reg SP compliance requirements to protect customer data and reduce regulatory risk.
Operate and support IT environments with controls and documentation that support Reg SP compliance and audit readiness.
Establish governance and risk frameworks that align IT, security, and policies to ongoing Reg SP compliance expectations.
Continuously monitor systems to detect security and compliance risks that could impact Reg SP safeguards.
Get expert guidance to translate Reg SP requirements into practical IT, cybersecurity, and compliance actions.
SEC Exam and Audit Readiness
Prepare confidently for SEC examinations with clear documentation, mapped controls, and a structured compliance posture.
Reg SP Gap Analysis and Risk Assessments
Identify gaps across policies, cybersecurity, and IT controls before regulators do — and prioritize remediation.
Reg SP Policy Development and Updates
Develop, update, and maintain written policies and procedures that align to real operational controls and SEC expectations.
Aligning Cybersecurity Controls to Reg SP Requirements
Ensure security safeguards directly support Reg SP requirements for protecting customer information.
“Coretelligent helped us identify our Reg SP gaps and put a clear plan in place. Their ability to connect cybersecurity, IT, and compliance gave us confidence going into our SEC exam.”
-Operations Leader, Financial Services Firm
Understand what the SEC expects under Regulation S-P — and where many firms fall short.
This checklist outlines the safeguards, policies, and cybersecurity controls required to support ongoing Reg SP compliance.
SEC Regulation S-P requires financial firms to protect customer information through documented administrative, technical, and physical safeguards, including cybersecurity controls.
Yes. RIAs and many SEC-regulated financial firms must comply with Reg SP requirements related to customer data protection and privacy.
Cybersecurity safeguards are a core requirement of Reg SP. Firms must demonstrate that security controls protect customer information from unauthorized access, misuse, or breach.
Yes. Coretelligent supports Reg SP gap analysis, policy development, documentation, and alignment of IT and cybersecurity controls to SEC exam expectations.
Yes. Coretelligent provides Reg SP compliance consulting, policy development, gap analysis, and ongoing compliance support for SEC-regulated financial firms.
Coretelligent delivers integrated Reg SP compliance services that connect cybersecurity, governance, and IT operations into a defensible, exam-ready framework.
