For RIAs, Advisors & Insurance
Are Your Written Safeguards Examination-Ready?
SEC Reg S-P, GLBA and the FTC Safeguards Rule all require advisors to maintain written policies that protect client data. Enter your domain or email for an instant audit.
What Regulators Expect From Your Practice
Whether you answer to the SEC, a state securities regulator, or FINRA, the throughline is the same: documented safeguards for nonpublic client information, tested and reviewed — not just promised.
1. Written Safeguards Program
Reg S-P and GLBA require documented policies covering how client data is collected, protected and disposed of. Examiners ask to see it.
2. Secure Client Communications
Authenticated, encrypted email and transport security so account details and statements can't be intercepted or spoofed — the first things our audit scores.
3. Test, Train & Oversee Vendors
Annual testing, security-awareness training, and oversight of custodians and tech vendors that touch client data.
The Golden Rule: Document your safeguards and review the program annually.
Be ready before the exam letter arrives
We secure your client communications and produce the written information-security program your regulator expects to see on file.
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