Who we serve: wealth management
IT and cybersecurity for registered investment advisors.
The amended Regulation S-P compliance date for smaller entities passed on June 3, 2026. The question examiners ask now is not whether you have a program on paper. It’s whether you can show it working.
Regulation S-P, technically
What the amendments require, and where we fit.
Compliance is your firm’s obligation, owned by your CCO and counsel. Our role is the technical readiness underneath it: implementing the controls, running the response capability, and producing the written evidence.
A written incident response program
The rule: Policies and procedures to detect, respond to, and recover from unauthorized access to customer information.
Our part: We implement the detection and response stack behind the program: managed EDR, monitoring, and backup, plus an incident response plan that is customized, maintained, and rehearsed at the appropriate tier.
30-day customer notification
The rule: Affected individuals must be notified within 30 days when a breach has occurred or is reasonably likely to have occurred.
Our part: Notification decisions belong to your firm and your counsel. Our role is making them possible: containment, forensically useful logs, and a documented timeline of what happened and when.
Service provider oversight
The rule: Firms must oversee the service providers that touch customer information, with reasonable assurances of safeguards.
Our part: We are the kind of vendor this rule is about, so we make oversight easy: published technical standards, written gap findings, and documentation you can hand an examiner as evidence of due diligence.
Safeguards, disposal, and recordkeeping
The rule: Expanded safeguards and disposal rules covering customer information, with records documenting the program.
Our part: MFA, encryption, access controls, and lifecycle management enforced to our published baseline, with every gap, decision, and remediation recorded in writing.
Examination-evidence support
When the examiner asks, you hand them a file.
Every ATG engagement produces a written record by design: the Gap Report from onboarding, remediation projects with acceptance criteria, signed risk-acceptance decisions, review cadence documentation, and vendor oversight artifacts about us. Not because regulation demands paperwork, but because that’s what managing an environment responsibly looks like. The examination file is a byproduct of doing it right.
Most advisory firms land on ATG Secure, which pairs the security baseline with the governance cadence this work requires. Scope is confirmed in a discovery conversation, not assumed.
Questions advisory firms ask
Do you guarantee SEC compliance?+
No, and you should be wary of any IT provider who says yes. Compliance is your firm's regulatory obligation, guided by your CCO and counsel. What we deliver is the technical side: security controls implemented to a published standard, an incident response capability, and written evidence of all of it that stands up in an examination.
We already passed the compliance date. What now?+
The June 3, 2026 date was the start of the obligation, not the end. Examiners now ask for evidence: the written program, the tested response plan, the vendor oversight file. If your current setup was assembled to check a box, the gap between paper and practice is exactly what an examination surfaces.
We're a small firm. Is this overkill?+
The amendments apply to registered advisers regardless of headcount, and client data obligations don't scale down with size. Our engagement is scoped to your firm in a discovery conversation, and we'll tell you plainly what is and isn't necessary.
What does an engagement look like?+
The same structured path as every ATG client: a 15-minute call, then a paid onboarding assessment that maps your environment against our published standards and produces a Gap Report. For advisory firms, that report doubles as a prioritized readiness plan, with every finding decided in writing.
Altura Technology Group provides technology and cybersecurity services. We are not a law firm or compliance consultancy, and nothing on this page is legal or compliance advice. Work with your CCO and counsel on regulatory obligations.
Also serving title & escrow and law firms.
The same standards-first approach applies to any firm that holds client funds or confidential matter data. If that’s you, the conversation starts the same way.
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