Regulation S-P
Two notification timelines. Different responsibilities.
Understand the distinction between provider notification and customer notification, and plan the handoff.
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Insights
Practical perspectives on technology risk.
Working questions and clear explanations for investment teams, business leaders, compliance professionals and technology providers.
Control evidence
What shows that a control actually operated?
Move beyond approved policies to records of execution, follow-up and closure.
Read articleProvider oversight
Five questions to ask your IT provider.
Start a useful conversation about responsibilities, review records and the evidence your firm needs.
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