The Reg S-P Reality Check. A fixed-fee review of what your firm actually does, held up against what your written program says it does. $1,500, and you have the report in two weeks.
What It Is
You paid a consultant for a Reg S-P policy binder. What nobody checked is whether the firm described in that binder is the firm you actually run. That's the whole job here.
I go through your real setup: your vendors and what client data they hold, your MFA and backup situation, your incident response plan, your website and what the Marketing Rule and Rule 204-2 expect of it. Then I hold all of it up against what your written program says, and write down where the two disagree.
A checklist tells you what the rule says. This tells you what your firm is actually doing.
What You Get
Your systems, your vendors, and the client data each one holds.
What your written Reg S-P policies and Marketing Rule procedures commit your firm to doing.
Every place the binder says one thing and your firm does another.
The gaps most likely to show up in a deficiency letter, ranked.
A short ordered list. Some of it you can knock out yourself in an afternoon.
The Terms
$1,500, flat. Credited in full toward the retainer if you sign within 30 days.
Two weeks from our kickoff call to the report in your hands.
After that, the fix list is yours either way. Work it yourself, hand it to your IT person, or hand me the keys and it stays handled.
Thirty minutes on the phone first. If the Reality Check is the wrong tool for your firm, I'll say so on the call.
Book a call