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Reg S-P Readiness Breaks at the Handoff: Mind the Ownership Gaps
Most SEC-regulated firms take Regulation S-P seriously. They invest in safeguards. They rely on experienced teams and trusted vendors. They have policies and tools in place. As the latest amendments to Reg S-P take effect, however, I’m thinking about the early pressure points that are bound to emerge around how programs operate under real conditions.
Most SEC-regulated firms take Regulation S-P seriously. They invest in safeguards. They rely on experienced teams and trusted vendors. They have policies and tools in place. As the latest amendments to Reg S-P take effect, however, I’m thinking about the early pressure points that are bound to emerge around how programs operate under real conditions.
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