Regulation S-P incident response

ScreenSEC › SEC Workflows › Regulation S-P incident response·step 1

Complete the Identity fields. Each value is validated against the schema before the next step unlocks.

• Domain entity ID (required)

  entityId

  The organisation or system this record is about — lowercase with dashes, e.g. acme-corp-hq. Pick one you have used before, or type a new id to create it.

• Registrant CIK (required)

  cik

  Enter registrant cik. An example value is "0001234567".

• Entity size tier (required)

  entityTier

  Enter entity size tier.

ScreenSEC › SEC Workflows › Regulation S-P incident response·step 2

Complete the Incident fields. Each value is validated against the schema before the next step unlocks.

• Basis on which the institution became aware (required)

  awarenessBasis

  Enter basis on which the institution became aware.

• Became aware (starts the 30-day clock) (required)

  awarenessAt

  Enter became aware (starts the 30-day clock).

• Unauthorised access occurred (if known)optional

  unauthorizedAccessOccurredAt

  Enter unauthorised access occurred (if known).

• Severity (required)

  severity

  Enter severity.

• Categories of sensitive customer information affected (required)

  dataCategories

  Enter categories of sensitive customer information affected.

• Contained atoptional

  containedAt

  Enter contained at.

ScreenSEC › SEC Workflows › Regulation S-P incident response·step 3

Complete the Scope fields. Each value is validated against the schema before the next step unlocks.

• Affected individuals (as last assessed)optional

  affectedIndividualCount

  Enter affected individuals (as last assessed).

• Scope last assessed atoptional

  scopeAssessedAt

  Enter scope last assessed at.

ScreenSEC › SEC Workflows › Regulation S-P incident response·step 4

Complete the Notification fields. Each value is validated against the schema before the next step unlocks.

• Affected individuals notified atoptional

  customersNotifiedAt

  Enter affected individuals notified at.

• How notice was deliveredoptional

  notificationMethod

  Enter how notice was delivered.

ScreenSEC › SEC Workflows › Regulation S-P incident response·step 5

Complete the Programme fields. Each value is validated against the schema before the next step unlocks.

• Incident response programme reference (required)

  incidentResponsePolicyRef

  Enter incident response programme reference.

• Programme version (required)

  incidentResponsePolicyVersion

  Enter programme version.

• Programme owner (required)

  incidentResponsePolicyOwner

  Enter programme owner.

ScreenSEC › SEC Workflows › Regulation S-P incident response·step 6

Complete the Provider fields. Each value is validated against the schema before the next step unlocks.

• The incident occurred at a service provideroptional

  serviceProviderIncident

  Enter the incident occurred at a service provider.

• Service provideroptional

  serviceProviderName

  Enter service provider.

ScreenSEC › SEC Workflows › Regulation S-P incident response·step 7

Complete the Parallel Regimes fields. Each value is validated against the schema before the next step unlocks.

• Linked GDPR recordoptional

  linkedGdprRecordId

  Enter linked gdpr record.

• Linked HIPAA breach recordoptional

  linkedHipaaRecordId

  Enter linked hipaa breach record.

• Linked Form 8-K record (if also material)optional

  linkedForm8kRecordId

  Enter linked form 8-k record (if also material).

ScreenSEC › SEC Workflows › Regulation S-P incident response·step 8

Complete the Decision fields. Each value is validated against the schema before the next step unlocks.

• Why customer notice is not requiredoptional

  noNoticeRationale

  Enter why customer notice is not required.

ScreenSEC › SEC Workflows › Regulation S-P incident response·step 9

No manual input is captured here: this step is completed from the preceding sections or by the platform.

No manual inputs in this step.