Regulation S-P Compliance

SEC Regulation S-P Incident Response Planning for RIAs

Built for small and mid-sized Registered Investment Advisers.

Clear, compliant incident response plans built to meet regulatory expectations—and hold up in real-world execution.

Regulation S-P Requires a Written Incident Response Plan

Registered Investment Advisers are expected to maintain a written incident response plan that defines how the firm detects, responds to, and recovers from security incidents involving customer information. 


The requirement is clear. The path to a complete, usable plan usually isn’t.


If your response isn’t clearly defined, decision-making slows, risk exposure increases, and regulatory pressure builds unnecessarily.

 

You may already be asking:


  • What exactly needs to be included to meet expectations?
  • How detailed does the plan need to be?
  • Does our current documentation already cover some of this?
  • How do we structure this in a way that is actually usable?


Without a clear approach, this requirement can quickly become time-consuming and difficult to bring to completion.


A Clear, Structured Approach to Incident Response Planning

Peril Pro works directly with Registered Investment Advisers to develop incident response plans that align with Regulation S-P expectations while remaining practical and usable.


The focus isn’t just meeting requirements—it’s building a plan your firm can rely on when it matters.


Each plan is tailored to your firm’s structure, operations, and existing documentation—ensuring what you build is both compliant and relevant.

What Your Incident Response Plan Includes

Your plan is built to meet Regulation S-P expectations—while staying clear, structured, and ready for use.

  • Defined incident classification and response levels
  • Clear roles and responsibilities across your firm
  • Step-by-step response procedures for security incident
  • Internal escalation and decision-making structure 
  • Customer notification decision framework (Reg S-P aligned)
  • Documentation and reporting requirements
  • Integration with your existing policies and procedures
  • Practical structure designed for real-world use 


This ensures your firm is not only compliant, but prepared to respond with clarity and confidence. 

Experience That Translates Into Practical Plans

With over a decade of experience supporting regulated firms in business continuity and incident response planning, Peril Pro develops plans that are structured, compliant, and usable in real-world situations.


This work is grounded in helping organizations think through disruption before it happens—so when something does occur, the response is clear, coordinated, and controlled.


The approach is intentionally practical—aligned with regulatory expectations while remaining easy to follow, maintain, and implement across your team.


Focused on clarity, structure, and real-world usability.

A Simple, Structured Process

Initial Conversation

We start with a focused discussion to understand your firm, your current documentation, and what’s already in place.

Plan Development

Plans are built around your business—not dropped into a template—so they are clear, structured, and usable.

Review & Finalization

We walk through the completed plan with you, ensuring everything is clear, complete, and ready for use.

If your firm needs a clear, structured approach to incident response planning, we can walk through your current position and what would be required to move forward.


There’s no pressure—just a focused conversation to help you understand your options.


Or use the contact form below to send a message directly.

Start the Conversation.


Contact Peril Pro

If you’d like to discuss your business and where continuity or incident response planning would be most valuable, you can send us a message using the form on the right.


Please share a brief overview of your business and what you’re looking for.