Audit-ready compliance in days, not months. Automated evidence collection, continuous control verification, and real-time governance heatmap — at a fraction of what traditional consultancies charge.
SEC Regulation S-P (17 CFR Part 248) requires registered investment advisers, broker-dealers, and investment companies to adopt written policies and procedures for protecting customer records and information. Originally adopted in 2000 under the Gramm-Leach-Bliley Act, the regulation was significantly strengthened by the 2023 amendments that introduced mandatory incident response programs, individual breach notification requirements, and vendor oversight obligations.
The compliance deadline for the amended requirements is June 3, 2026. After this date, SEC examination staff will evaluate firms against the full amended requirements. Firms that cannot produce documented evidence of compliance face enforcement actions including fines of up to $2.5 million per incident.
Firms must develop, implement, and maintain written procedures for detecting, responding to, and recovering from unauthorized access to customer information. A designated qualified individual must oversee the program with appropriate authority and resources. CYFAX builds these policies for you and validates them automatically.
When unauthorized access to customer information occurs or is reasonably likely to have occurred, firms must notify each affected individual within 30 days. Notifications must describe the incident, the information involved, and provide firm contact information. CYFAX detects breaches and triggers notification workflows before the clock starts.
Service providers that experience a breach involving customer information must notify the covered institution within 72 hours. Firms must ensure vendor contracts include these notification clauses and maintain ongoing oversight of vendor security practices. CYFAX TPRM monitors every vendor in your supply chain continuously.
Many RIAs believe they are compliant because they have one or more of the following. None of these satisfy the amended Reg S-P requirements on their own.
A cyber insurance policy — regardless of cost — does not satisfy a single Reg S-P requirement. The SEC does not ask "do you have a cyber policy?" They ask for documented incident response procedures, monitoring evidence, access controls, and vendor oversight documentation. Insurance transfers financial risk after a breach. Reg S-P requires you to prevent and detect breaches, and prove that you can.
Services that scan your domain from the outside and produce an aggregate risk score are measuring external hygiene only. They do not test internal security controls, validate backup configurations, check endpoint protection status, or verify that your incident response plan meets regulatory standards. An external score of 84 out of 100 means nothing to an examiner requesting evidence of continuous monitoring and control validation.
A virtual CISO engagement that produces policies and conducts an annual review gives you a snapshot — not continuous compliance. The amended Reg S-P requirements emphasize ongoing detection, continuous monitoring, and the ability to produce evidence on demand. A report from six months ago does not demonstrate that your controls are working today. This model typically costs $60,000 to $180,000 annually, with penetration tests billed separately at $8,000 to $15,000 each, and the cycle repeats year after year.
During routine and for-cause examinations, SEC staff request documentation across ten categories. Firms that cannot produce these artifacts on demand face adverse findings.
| Examiner Requirement | CYFAX + PREVENT Capability | Verification |
|---|---|---|
| Written information security policies | AI document review validates policy fitness against Reg S-P standards | Upload |
| Designated compliance officer / qualified individual | AI Compliance Cockpit serves as the automated compliance intelligence layer | Upload |
| Incident response plan documentation | Upload IRP for AI fitness-for-purpose review; automatic gap identification | Upload |
| Employee security awareness training records | Upload training documentation for compliance mapping | Upload |
| Access control implementation evidence | PREVENT validates MFA enforcement, credential hygiene, and access policies | PREVENT Auto |
| Monitoring and detection capabilities | PREVENT NDR + continuous BAS testing produces ongoing detection evidence | PREVENT Auto |
| Business continuity and disaster recovery | PREVENT validates backup configs, encryption status, recovery readiness | PREVENT Auto |
| Vendor oversight documentation | TPRM module scores every vendor with evidence-based risk assessment | CYFAX Auto |
| Regular control testing records | Continuous BAS against 60+ controls produces timestamped evidence | PREVENT Auto |
| Dark web and credential monitoring | 500B+ threat objects, 20,000+ criminal sources, named account identification | CYFAX Auto |
CYFAX auto-verifies approximately 40–50% of controls through external reconnaissance alone. Here is how firms close the remaining gap to reach 85%+ verification.
Upload existing security artifacts into the Compliance Cockpit. The AI engine reviews each document for fitness-for-purpose against Reg S-P requirements and updates the governance heatmap automatically.
Accepted formats: PDF, DOC, DOCX, XLS, XLSX, PNG, JPG — up to 10 files per attestation.
Documents to upload: EDR/antivirus reports, firewall configurations, backup and encryption documentation, written policies, training records, incident response plans.
Deploy the PREVENT Compliance Agent — approximately 10 minutes per VLAN. It validates 60+ internal security controls automatically, runs continuous BAS testing against CIS Benchmarks and MITRE ATT&CK, scans for vulnerabilities with CVSS/KEV prioritization, and monitors network traffic for active threats.
The key: All evidence flows directly into the Compliance Cockpit. Zero manual uploads. Zero document gathering. Every control that passes becomes a checked box on the Reg S-P framework.
Both paths achieve 85%+ compliance verification. Start with Option A (zero friction), convert to Option B when you see how much time manual evidence costs.
The traditional approach to Reg S-P compliance requires assembling 5–7 point solutions and consultants at significant annual cost. CYFAX consolidates every requirement into a single platform at a fraction of the price.
5–16× cost compression.
Continuous compliance assurance instead of annual snapshots. Single platform. Single contract. Audit-ready on demand.
CYFAX is not a compliance tool that happens to mention security.
It is a cybersecurity platform that produces compliance evidence as a byproduct of actually protecting your firm. The compliance output exists because the security operations are real.
ARETE does not produce a risk score. It predicts breach probability by analyzing threat actor behavior, credential exposure velocity, and industry targeting patterns. When a threat actor begins reconnaissance against financial services firms in your region, you know about it weeks before anything happens.
No other compliance platform does this. No external scanner does this. No vCISO does this. CYFAX does this.
VIP Monitoring watches criminal forums, stealer log ecosystems, dark web marketplaces, and Telegram channels for your partners, principals, and high-net-worth clients by name. It detects pre-attack reconnaissance — personal data searches, criminal intent chatter, credential exposure — before anything happens.
When a threat actor is researching one of your clients, you find out first. Not after the breach. Not from a vendor notification 45 days late. CYFAX finds it in the chatter before it becomes an attack.
Continuous scanning across 500 billion+ threat objects and 20,000+ criminal sources. Identifies leaked credentials by name, exposed infrastructure, email security gaps, dark web mentions, and impersonation domains. Initial scan takes 60 minutes with zero installation required. CYFAX does this.
Real-time governance heatmap mapping controls across Reg S-P, NIST CSF 2.0, and 350+ global frameworks simultaneously. Each control shows Compliant, Review, or Critical status. AI reviews uploaded evidence documents for fitness-for-purpose against regulatory requirements. CYFAX does this.
Upload a CSV of vendor domains. Come back and review traffic-light scorecards showing risk scores, external exposures, credential status, and email vulnerabilities for every vendor in your supply chain. Reg S-P requires vendor oversight. CYFAX does this.
Validates 60+ internal security controls against CIS Benchmarks and MITRE ATT&CK. Runs continuous breach attack simulation, vulnerability scanning with CVSS/KEV prioritization, and network detection and response. Deploys in approximately 10 minutes per VLAN. PREVENT does this.
These aren't advisory recommendations on a consultant's invoice. They are the 12 SEC-required security policies your examiner will ask for — generated in minutes, not billable hours.
Answer a short questionnaire about your firm — size, structure, custodians, data handling practices. Our AI generates all 12 policies customized to your operations. Review them, make any edits, and upload directly to the Compliance Cockpit. The attestation engine validates each policy for fitness-for-purpose against Reg S-P requirements.
The 12 policies: Written Information Security (WISP) · Incident Response Plan · Business Continuity & DR · Acceptable Use · Access Control · Data Classification · Vendor Risk Management · Security Awareness Training · Encryption & Data Protection · Change Management · Remote Access & BYOD · Data Retention & Disposal
Give us your domain. In 60 minutes, we will show you exactly where you stand against every Reg S-P requirement — with zero installation and zero risk to your network.
