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Home/Regulations/SEC Regulation S-P — Regulatory Reference
Regulatory Reference
Financial Services Federal (US) high

SEC Regulation S-P — Regulatory Reference

Safeguarding customer records — requires written policies controlling AI agent access to investor data.

Key Provisions
  • 17 CFR Part 248 — privacy of consumer financial information
  • Safeguards rule — written policies and procedures to protect customer records
  • 2024 amendments — incident response program and customer notification requirements
  • 30-day notification requirement following sensitive customer data breach
How AutoPIL Enforces It
  • Written supervisory procedures expressed as AutoPIL policy YAML — versioned, auditable, enforceable at retrieval
  • Agent registry documents which AI systems are authorized to touch customer records
  • Audit chain enables 30-day breach notification by surfacing exactly which records an unauthorized agent accessed
Policy EngineSensitivity LabelsAudit LogAgent RegistryCatalog
AutoPIL Policy IDs
FS-SECREGSP-001Customer Record Access Authorization
FS-SECREGSP-002Incident Response Audit Support
Official Sources
https://www.sec.gov/rules-regulations/regulation-sphttps://www.ecfr.gov/current/title-17/chapter-II/part-248

This page is a working reference and not a substitute for qualified legal review. Verify against official sources before use in compliance artifacts.

AutoPIL Governance Platform

Enforce this regulation today

AutoPIL intercepts every AI agent data access call, enforces your policy, and writes a tamper-evident audit record — before sensitive data enters the agent context window.

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