As an exclusive provider to the wealth management and advice industry,
Docupace understands how important it is that we enable our clients to remain
compliant with industry standards and regulations.
In May 2024, the Securities and Exchange Commission (SEC) amended the breach
notification requirements under Regulation S-P for registered investment
advisers, broker-dealers, investment companies, and transfer agents. These
amendments require compliance by December 2025 for larger entities and June
2026 for smaller entities, with specific response windows for notification should a
breach of client information occur.
While Docupace and its additional platforms, including PreciseFP and Hubly, are
not regulated by the SEC or directly subject to Regulation S-P, we want to assure
all clients of our commitment to meet industry standards and regulations.
The enclosed certification affirms this commitment to meet these heightened
standards and make our best effort to protect our clients and the clients they
serve from unlawful and unauthorized access to their data.
No action is required on your part. This certification is provided for your
records and to confirm our ongoing commitment to data security and regulatory
compliance. Please download this certification from the following link and save
for your records.