5. Compliance Outreach on Regulation S-P for Small Firms

Publisher and date: US Securities and Exchange Commission, 22 January 2026. Who: staff from the SEC's Divisions of Examinations, Investment Management, and Trading and Markets. Links: official event and agenda; YouTube recording.

Source-based takeaway: the event addresses implementation of the Regulation S-P amendments, including incident-response programs, customer notification and examination preparation. Its agenda is directly relevant to covered smaller institutions.

Buyer action — editorial: use the agenda to organize a readiness meeting with the legal owner, IT, the service provider and records custodian. Identify the documents and operating evidence needed to explain how an incident would move from discovery through a notification decision.

Limit: the recording is educational material, and the applicable rule and official guidance control. The smaller-entity compliance date has already passed as of this research cutoff; do not present the session as notice of a future deadline.