Practical Compliance
Financial Services (SEC Reg S-P, FINRA, FTC Safeguards)
Cybersecurity programs for advisers, broker-dealers, CPA firms, and dealerships that offer financing.
What’s included
- Written information security programRequired under the FTC Safeguards Rule and expected by regulators.
- Incident response and notificationPlans that meet current notification requirements.
- Vendor oversightDue diligence on the service providers that touch client data.
Talk to a person, not a ticket
Tell us what's going on. We'll listen, ask good questions, and give you a straight answer about whether we can help.