Regulation S-P

Requires registered broker-dealers, investment companies, and investment advisers to "adopt written policies and procedures that address administrative, technical, and physical safeguards for the protection of customer records and information." See:

  • Release 34-42974, Privacy of Consumer Financial Information (Regulation S-P), Section III, Subpart E - Safeguard Procedures, (June 22, 2000).

The requirement that policies and procedures be written has been in place since 2005. See:

  • Release 34-50781, Disposal of Consumer Report Information, Section II, B. Rule 30(a): Procedures to Safeguard Customer Records and Information (Dec. 2, 2004).

The relevant text of Regulation S-P is available at: