WEST REGION Denver Local Group Presents: Implementing New Requirements Under Regulation S-P
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Program Summary:
As cyber threats targeting financial services firms grow more sophisticated, investment adviser representatives, compliance personnel, and senior executives have a heightened duty to protect the sensitive personal and financial data their clients entrust to them. This course examines the SEC's expanded Regulation S-P framework: including how to build an effective incident response program; what clients must be told, and when, following a breach; how to evaluate and oversee third-party service providers; and when privacy notices are requireds. Clients benefit directly when their adviser maintains robust, regulation-aligned data protection practices, reducing the likelihood that their sensitive financial information is exposed, mishandled, or left unprotected in a breach.
Presenters: Bryan Hill, President & Jarrod James, SVP of RIA Compliance Consultants, Inc.
Bryan Hill, President, RIA Compliance Consultants, Inc., holds a law degree from the University of Nebraska College of Law and has earned the Accredited Investment Fiduciary® (AIF®) designation, with over 30 years of experience advising investment advisers and broker-dealers on regulatory compliance matters. He is an approved IAR CE instructor and has passed the Series 7, Series 24, Series 65, and Series 66 exams.
Jarrod James, Senior Vice President, RIA Compliance Consultants, Inc., holds a Master of Arts in Management from Bellevue University and the Investment Adviser Certified Compliance Professional® (IACCP®) designation, with extensive experience in investment adviser compliance including regulatory examination preparation, policy development, and compliance training. He is an approved IAR CE instructor and has passed the Series 7, Series 24, and Series 66 exams.