RIA Reg S-P Privacy Kit · One-time purchase

RIA Reg S-P Privacy Kit

The SEC amended Reg S-P in 2024 — every RIA needs a written incident response program and customer-notification protocol. Small RIAs are paying $3K+ to outside compliance shops for what is essentially document assembly.

Deadline

SEC Reg S-P amended rules: compliance dates rolling through 2026. Annual ADV filing requires this documentation in place.

What's in your kit

  • ✓Reg S-P Privacy Policy + Customer Notice (compliant with the 2024 amendments)
  • ✓Incident Response Program (IRP) — written plan + 24-hour customer-notification workflow
  • ✓Vendor/service-provider oversight checklist (the new oversight requirements)
  • ✓Annual review log + ADV cross-reference index
  • ✓12 months of regulation update access — SEC changes auto-flow into your kit
One-time price
$299one-time
+ $19/mo optional update access (12 months recommended)
Compare:
Outside compliance consultants: $3,000-$8,000

We will email your invoice within 1 business day. Kit delivered within 5 minutes of payment.

How it works

Step 1
You answer 15 questions
Firm size, custodian, vendor list, current state. 6 minutes.
Step 2
Kit generates in 5 minutes
Policies, IRP, and vendor oversight checklist are pre-filled and ADV-ready.
Step 3
You review with your CCO
Each doc has signature blocks + ADV reference numbers. Becomes part of your annual compliance binder.
How it works

What you actually get when you buy

Scoped audit → auto-generated docs → 12-month update access. Built for the regulator deadline, not for a year of consulting calls.

Open the full workflow →

Frequently asked

Legal: Ascero AI is a software vendor, not a law firm or registered compliance consultant. This kit is informational. We recommend CCO or securities-attorney review before adoption. References reflect SEC Reg S-P as amended through 2024.
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