Reg S-P’s compliance dates have now passed for every SEC-registered adviser. Meanwhile, AI is touching client data in more places than most firms have mapped.
Inside this issue
- Where client information goes in an AI workflow, including the paths people forget: indexes, logs, and backups
- The two notification clocks: 72 hours for your service provider, 30 days for affected clients
- A four-question incident exercise to run with your team
- What to keep in the workflow file when an examiner asks
The chartbook is free, with no form. Read it in your browser or download the PDF to share with your chief compliance officer.
