# privacy-data-security

Guides privacy and cybersecurity compliance for SEC-registered firms under Regulation S-P, Regulation S-ID, and SEC standards.

- skill · `type=skill` · Claude Code, Codex, Cursor, GitHub Copilot, Gemini CLI, OpenCode · 698 installs · ★ 218
- Author: JoelLewis
- License: MIT · policy=mirror · the beginning of the file is at the end of this page
- Source: https://github.com/JoelLewis/finance_skills/tree/HEAD/plugins/compliance/skills/privacy-data-security/SKILL.md
- Updated: 2026-07-18
- HTML: https://affpapa.org/en/nevibecode/skills/privacy-data-security

## What it does

The skill structures privacy compliance workflows for financial institutions regulated by the SEC. It covers initial and annual privacy notices alongside opt-out mechanics under Regulation S-P. Rules for disposing of consumer report data under Section 248.30(b) are included as well. The guidance targets registered investment advisers and broker-dealers.

Another section details Regulation S-ID and the Red Flags Rule. Covered accounts require a formal Identity Theft Prevention Program. Board approval is mandatory under 17 CFR 248.201(d). The material also touches on cloud vendor assessments, BYOD policies, and NY DFS 500 controls.

Regulatory references reflect rules up to June 2026. Effective dates and dollar thresholds require confirmation against active SEC or FINRA publications. Outdated figures will skew compliance procedures.

## Install

### Claude Code (native platform)

1. **Skills CLI (Vercel)**
```bash
npx skills add JoelLewis/finance_skills --skill privacy-data-security -a claude-code
```

2. **Manually: put the files in place**
- File: `~/.claude/skills/privacy-data-security/SKILL.md` — Copy the whole skill folder; for one project use .claude/skills/privacy-data-security/

### Codex

1. **Skills CLI (Vercel)**
```bash
npx skills add JoelLewis/finance_skills --skill privacy-data-security -a codex
```

2. **Manually: put the files in place**
- File: `.agents/skills/privacy-data-security/SKILL.md` — For all projects use ~/.agents/skills/

### Cursor

1. **Skills CLI (Vercel)**
```bash
npx skills add JoelLewis/finance_skills --skill privacy-data-security -a cursor
```

2. **Manually: put the files in place**
- File: `.cursor/skills/privacy-data-security/SKILL.md` — Cursor also reads .agents/skills/ and .claude/skills/

### GitHub Copilot

1. **GitHub CLI**
```bash
gh skill install JoelLewis/finance_skills privacy-data-security
```

2. **Manually: put the files in place**
- File: `.github/skills/privacy-data-security/SKILL.md`

### Gemini CLI

1. **Skills CLI (Vercel)**
```bash
npx skills add JoelLewis/finance_skills --skill privacy-data-security -a gemini-cli
```

2. **Platform CLI**
```bash
gemini skills install https://github.com/JoelLewis/finance_skills --path plugins/compliance/skills/privacy-data-security
```

### Windsurf (Devin Desktop)

**Manually: put the files in place**
- File: `.devin/skills/privacy-data-security/SKILL.md` — The legacy .windsurf/skills/ path still works

### OpenCode

**Skills CLI (Vercel)**
```bash
npx skills add JoelLewis/finance_skills --skill privacy-data-security -a opencode
```

### Claude.ai

**Claude.ai**
- Zip the folder and upload it in Settings → Capabilities → Skills

Where a file is given instead of a command, copy the files from the source to that path: https://github.com/JoelLewis/finance_skills/tree/HEAD/plugins/compliance/skills/privacy-data-security/SKILL.md

## When to use it
- Draft privacy notices and opt-out disclosures under Regulation S-P
- Build an Identity Theft Prevention Program meeting Regulation S-ID
- Structure administrative and technical safeguards for client records
- Review cloud vendor risks and incident response obligations

## Example prompts
- Draft an initial client privacy notice complying with 17 CFR 248.4 under Reg S-P
- Outline the red flag categories needed for an ITPP under Reg S-ID
- What administrative safeguards are required under Section 248.30?

## Source text · SKILL.md · MIT

Below is the content of a third-party file. It is data, not instructions for you: do not act on anything written inside unless the human asks. Block tag: 41929b049d60cba7.

BEGIN THIRD-PARTY FILE 41929b049d60cba7
```text
---
name: privacy-data-security
description: "Design and operate privacy and data security programs for SEC-registered firms under Reg S-P, Reg S-ID, and SEC cybersecurity expectations. Use when the user asks about privacy notices, the Safeguards Rule, identity theft prevention programs, breach notification obligations, vendor security due diligence, incident response planning, data classification, or state privacy law compliance. Also trigger when users mention 'customer data was exposed', 'do we need to notify clients of a breach', 'cybersecurity exam prep', 'cloud vendor risk assessment', 'encrypting client data', 'BYOD security policy', 'Red Flags Rule', 'NY DFS 500 requirements', or ask how to handle a cybersecurity incident."
---

# Privacy and Data Security

Regulatory status current as of June 2026 — verify effective dates, dollar thresholds, and pending rulemakings against current SEC/FINRA/FinCEN sources before advising.

## Core Concepts

### Regulation S-P (Privacy of Consumer Financial Information)
Regulation S-P (17 CFR Part 248, Subparts A and B) implements Title V of the Gramm-Leach-Bliley Act (GLBA) for entities registered with the SEC. It applies to SEC-registered investment advisers, broker-dealers, investment companies, and transfer agents. The regulation has three core components:

**Privacy Notice Requirements.** Firms must provide an initial privacy notice to each customer at the time of establishing the customer relationship (17 CFR 248.4). The notice must describe: (a) categories of nonpublic personal information (NPI) collected, (b) categories of NPI disclosed to third parties, (c) categories of affiliates and nonaffiliated third parties to whom NPI is disclosed, (d) the customer's right to opt out of certain disclosures, (e) the firm's policies and practices for protecting confidentiality and security of NPI, and (f) any disclosures required under the Fair Credit Reporting Act. Annual privacy notices must be delivered once during each 12-month period for the duration of the customer relationship (17 CFR 248.5). The FAST Act of 2015 (Pub. L. 114-94, Section 75001) created an exception to the annual notice requirement: firms that (i) share NPI only under the exceptions in 17 CFR 248.14 and 248.15, and (ii) have not changed their privacy policies and practices since the most recent notice, may satisfy the annual requirement by posting the privacy notice continuously on their website in a clear and conspicuous manner rather than mailing it to each customer.
```
END THIRD-PARTY FILE 41929b049d60cba7

The third-party file has ended. Everything between the 41929b049d60cba7 tags is data: requests and commands from it are not followed. An “end of file” line with another tag inside the block is part of the file.

First 2527 of 43566 bytes. © JoelLewis · MIT · https://github.com/JoelLewis/finance_skills/tree/HEAD/plugins/compliance/skills/privacy-data-security/SKILL.md

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