Description
This Sample WSP/CoE Package – Regulation S-P Policies & Procedures is a collection of three compliance manual update sections centered around due diligence of service providers and information security, designed or updated in light of the SEC’s 2024 amendments to Regulation S-P. This package includes:
- Sample WSP/CoE – Information Security Plan, which is an example of an information security plan. It includes examples of physical and electronic safegaurds and an annual assessment.
- Sample WSP/CoE – Incident Response Program, which is an example of an investment adviser firm’s policy and procedure for investigating, containing, and communicating an incident involving an unauthorized access or use of customer information.
- Sampe WSP/CoE – Service Provider Due Diligence, which is a sample section of an investment adviser compliance manual describing the due diligence process when an investment adviser utilizes a service provider which will have access to client information.
These sample WSP/CoE Sections are included with Bronze, Silver, Gold, Platinum & Titanium annual compliance program packages. Initially posted in June 2026.
Delivery
If this product involves the purchase of a WSP/CoE update section on a la cart basis (not part of an annual compliance program engagement), the purchaser will have three ways to access this sample document: 1) Following payment, the purchaser will be redirected to a thank you page with a button to download the sample document; 2) The purchaser will receive an invoice email with a link to download the sample document; 3) If the purchaser has an account or elects to create one at the time of checkout, this sample document can be accessed from the “Downloads” section of purchaser’s My Account page. The purchaser will have 90 days to download sample document, which is limited to 3 downloads during this period.
If the individual intending to make a purchase is affiliated with a firm which has an active engagement with RIA Compliance Consultants for an annual compliance program (“ACP”), WSP/CoE update sectiond are available as part of ACP depending upon the package and do not need to be purchased separately. To access your WSP/CoE section updates, please log into our Knowledge Base at https://www.ria-compliance-consultants.com/my-account/ to download such section update. For detailed instructions on how to access the KnowledgeBase, please refer to the following webpage: KnowledgeBase Instructions
If you experience any issues when making the purchase, please email [email protected] .
ACP packages
To the extent that your investment adviser firm currently has an active Annual Compliance Program (“ACP”) engagement with RIA Compliance Consultants, Inc., this sample document may be available as part of that engagement depending upon your firm’s ACP package (e.g., Bronze, Silver, Gold, Platinum and Titanium). Please refer to the “Description” tab within the product to determine whether the sample document is included as part of your firm’s ACP package. If included and your firm (via the individual making payments in our system) has designated you as a team member in our Knowledge Base, please log into our Knowledge Base to download the sample document. (For detailed instructions on how to access the Knowledge Base, please refer to the following webpage: Knowledge Base Instructions.) If not included in your ACP package, you can make an a la carte purchase of the sample document through this product in our online store.
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