Securities Enforcement and Regulatory Update

U.S. SEC Regulation S-P and Checklist: Compliance Deadline, December 3, 2025, Approaching for Large Entities

October 29, 2025

On May 16, 2024, the U.S. Securities and Exchange Commission issued amendments to Regulation S-P: Privacy of Consumer Financial Information and Safeguarding Customer Information, which became effective on August 2, 2024, and applies to brokers, dealers, investment companies, registered investment advisers, funding portals, and registered transfer agents. The deadline for larger entities to comply with these final amendments is December 3, 2025, and for smaller entities, June 3, 2026.

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