Requirements · Financial services

SEC Regulation S-P (17 CFR Part 248)

Privacy and safeguarding of consumer financial information. 10 Moraph products list it under “Requirements it supports”. The products support this requirement; meeting it remains your organization’s responsibility.

About the rule

What it is

Regulation S-P (17 CFR Part 248, Subpart A) is the Securities and Exchange Commission’s rule on the privacy of consumer financial information. It applies to broker-dealers, investment companies and registered investment advisers, and since amendments adopted in 2024 also to transfer agents. It requires privacy notices and written policies and procedures to safeguard customer information, and the 2024 amendments added an incident response program that includes notifying affected individuals.

Source: 17 CFR Part 248, Subpart A (eCFR). This summary is for orientation only; read the rule itself or ask your counsel for what it requires of you.

Citations

How the products cite it

The exact wording on the product pages, with how many products use each.

  • Regulation S-P (17 CFR Part 248) 1 product
  • Regulation S-P (17 CFR Part 248), privacy of consumer financial information 1 product
  • Regulation S-P (17 CFR Part 248), safeguarding and disposal of customer information 1 product
  • SEC Regulation S-P (17 CFR Part 248) 1 product
  • SEC Regulation S-P (17 CFR Part 248), including its incident response and customer notification requirements 1 product
  • SEC Regulation S-P (17 CFR Part 248), including its incident response program requirements 1 product
  • SEC Regulation S-P (17 CFR Part 248), where applicable 1 product
  • SEC Regulation S-P (17 CFR Part 248, Subpart A) 1 product
  • SEC Regulation S-P (17 CFR Part 248, Subpart A), for broker-dealers and investment advisers 1 product
  • SEC Regulation S-P (as amended in 2024, service provider oversight) 1 product

For what it requires of your organization, read the rule itself or ask your counsel.

Products

The 10 products that support it

  • Financial ServicesManaged platform

    CRM for Finance

    Managed Salesforce Shield encryption with key material held by Moraph outside Salesforce, so Salesforce does not store your decryption keys. Field permissions remain your decision.

    Lists:

    • SEC Regulation S-P (17 CFR Part 248, Subpart A), for broker-dealers and investment advisers
    Product details and demo
  • Financial ServicesManaged platform

    Data Loss Prevention

    Network and endpoint blocking of outbound transmission of SSNs or credit card numbers (PAN).

    Lists:

    • SEC Regulation S-P (17 CFR Part 248), including its incident response and customer notification requirements
    Product details and demo
  • Financial ServicesManaged platform

    Database Security

    Real-time monitoring of SQL queries to detect mass data exfiltration events.

    Lists:

    • SEC Regulation S-P (17 CFR Part 248), including its incident response program requirements
    Product details and demo
  • Financial ServicesManaged platform

    Mobile Device Management

    "Containerized" corporate apps on advisor personal phones, allowing selective wipe of business data.

    Lists:

    • Regulation S-P (17 CFR Part 248), safeguarding and disposal of customer information
    Product details and demo
  • Financial ServicesMoraph SaaS

    Proxy Voting & Shareholder Services

    Automates the distribution of proxy materials and vote tabulation for mutual fund clients.

    Lists:

    • Regulation S-P (17 CFR Part 248)
    Product details and demo
  • Financial ServicesManaged platform

    Public Cloud Infrastructure

    Managing the tenant with "Policy as Code" guardrails designed to block public S3 buckets holding consumer data. Guardrails reduce, not remove, misconfiguration risk; data decisions remain yours.

    Lists:

    • SEC Regulation S-P (17 CFR Part 248), where applicable
    Product details and demo
  • Financial ServicesManaged platform

    Secure File Transfer

    Encrypted "drop box" for clients to upload tax returns without using insecure email.

    Lists:

    • SEC Regulation S-P (17 CFR Part 248, Subpart A)
    Product details and demo
  • Financial ServicesManaged platform

    Security Awareness Training

    Phishing simulations tailored to financial fraud (e.g., "Wire Transfer Request"), producing training evidence for examiners and cyber insurers. Premium decisions remain the insurer's.

    Lists:

    • SEC Regulation S-P (17 CFR Part 248)
    Product details and demo
  • Financial ServicesManaged platform

    Third-Party Risk Scoring

    Continuous credit-rating-style monitoring of vendor security postures.

    Lists:

    • SEC Regulation S-P (as amended in 2024, service provider oversight)
    Product details and demo
  • Financial ServicesMoraph SaaS

    Wealth Transfer & Estate Visualization

    Visual mapping tool for complex trust structures (GRATs/CLATs) and tax modeling for high-net-worth families.

    Lists:

    • Regulation S-P (17 CFR Part 248), privacy of consumer financial information
    Product details and demo

Not sure which requirements apply to you? Request a gap analysis. All requirements: Requirements our products support.

More financial services requirements