Investment advisers
Preparation workspace for investment advisers
Oversee vendors in the register you already have, and keep incident records whose notification clocks are the ones the product actually schedules. Regulation S-P customer notice is not one of those clocks.
Advisedly supports preparation. It does not certify an organization, accept an examination, or decide that you comply with a law or a framework.
Available today
Available today
Vendor oversight
Vendor risk is a register with tier, status, risk score, last assessed, and next due date, plus assessments, questionnaires, continuous monitoring, security ratings, and a supply-chain map. That supports oversight of service providers. It does not approve a vendor for the SEC.
Available today
Incident and breach records
Incidents can be tracked. The breach register schedules notification deadlines only for DFARS 252.204-7012, HIPAA, a state-breach clock, PCI DSS, GDPR Article 33, FedRAMP, and FISMA. The scheduler records the deadline. It does not send the notice or file with a regulator. Regulation S-P is not in that list.
Roadmap
Roadmap
Regulation S-P incident notification workflow
A workflow that tracks the amended Regulation S-P customer-notification deadline for covered institutions is not shipped. Do not treat the SEC Cybersecurity Rules (2023) catalog entry as that workflow. That entry is the public-company disclosure rule, and it is a different catalog id. This Regulation S-P item is roadmap.
How this supports preparation
An adviser can keep vendor assessments and incident records while a written program is prepared. The missing piece is the Regulation S-P customer-notice clock. Until that ships, the product will not pretend a deadline it does not schedule has been met.
Questions
- Does Advisedly run the Regulation S-P customer notice?
- No. That workflow is roadmap. The breach register schedules other clocks and does not send notices. Advisedly does not decide whether Regulation S-P applies to you.
- Is vendor oversight the same as an SEC exam?
- No. Advisedly supports preparation. It does not certify an organization, accept an examination, or decide that you comply with a law or a framework.
Book a demo
This is the same lead form as the public demo. It stores your name, email, company, and message for follow-up. A person replies to schedule the demo. The form does not open a workspace and it does not read customer records.
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