Photo by Vitaly Gariev on Unsplash If your firm is a registered investment adviser, broker-dealer or other covered financial institution, the SEC’s amended Regulation S-P is no longer something on the horizon. Larger firms had to comply by December 2025. Smaller investment advisers, those with less than $1.5 billion in assets under management, had until Read more about Regulators Don’t Accept “Our IT Guy Handles It” as a Compliance Answer Anymore[…]