The Privacy Mandate: SEC Data Protection Compliance for Financial Services Professionals

This course covers the SEC's Regulation S-P amendments that significantly expand data protection requirements for financial services firms. You'll learn about mandatory incident response programs, breach notification requirements, and expanded responsibilities for overseeing service providers. The course covers which entities are covered, compliance deadlines, and how to build compliant programs. You'll understand the implementation roadmap and how to document your compliance for SEC examination.

Master SEC Reg S-P: build incident response programs, manage breach notifications, oversee vendor security and maintain compliance records. Includes a response policy. For brokers and advisers.

Built for compliance teams who need procedures that survive audit, not just theory. You'll work through 5 structured modules and 5 lessons (~0.8h) with downloadable templates and finish with a verifiable certificate of completion you can list on LinkedIn the same day.