On 16 September 2025, the United States Securities and Exchange Commission (US SEC) announced that it will host a dedicated compliance webinar for large firms as part of its Regulation S-P outreach series. The event is scheduled for 25 September 2025 from 1 p.m. to 2 p.m. ET and is the first in a series of three compliance sessions tailored to different registrant types. Future webinars of this events will address transfer agents and small firms, aligned with their respective compliance deadlines under the Regulation S-P amendments adopted in 2024.
The 2024 amendments to Regulation S-P introduced enhanced obligations for safeguarding consumers’ personal information and improving data protection standards across financial services. To aid industry readiness, the US SEC has launched compliance-focused outreach designed to clarify obligations, address implementation challenges, and ensure consistent practices across registrants.
The compliance outreach will feature staff from the Divisions of Examinations, Investment Management, and Trading and Markets. They will:
- Explain updated Regulation S-P compliance requirements.
- Provide insights on examination procedures and expectations.
- Address questions and compliance concerns submitted by firms.
Keith Cassidy, Acting Director of the Division of Examinations, emphasised the importance of clarity and cooperation, stating: “These enhancements to further safeguard consumers’ personal information will benefit both investors and firms; however, we recognise implementation may create challenges associated with compliance. The [US] SEC’s Division of Examinations wants to help firms clearly understand the requirements of implementing the updated Regulation S-P obligations so we can reach the mutually beneficial goal of improving the safeguards that protect investors’ personal information.”
Registration and Access to the Webinar
While advance registration is not mandatory, it is strongly preferred. Participants may also submit questions prior to the session. A direct webcast link will be available on 25 September 2025 at www.sec.gov. Additional details, including the full agenda and list of speakers, will be published on the Reg S-P Compliance Outreach webpage.
(Source: https://www.sec.gov/newsroom/press-releases/2025-118-sec-host-webinar-large-firms-regulation-s-p)
