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Free Cybersecurity Checklist for Wealth Management Firms

The SEC requires registered investment advisors to implement dozens of cybersecurity requirements.  

Download our checklist to get a free 78-point checklist of what cybersecurity measures you need to show in an audit. 

Here's what you'll learn...

This free cybersecurity checklist will tell you exactly what cybersecurity processes, procedures, and evidence you need to have in place.  Use it to ensure a smooth audit and, more importantly, to protect your firm, clients, and data.
SEC Audit Preparation: Essential steps to get ready your an IT-focused audit
Vendor Due Diligence: How to assess and monitor third-party cybersecurity risks
Incident Response Planning: Creating a robust strategy for handling data breaches
Client Data Protection: Best practices for safeguarding Non-Public Information (NPI)
Regulatory Compliance: Aligning your practices with SEC expectations
Multi-Factor Authentication (MFA): Prevent hackers from getting in
Phishing Prevention: Techniques to protect your firm from email-based attacks
Funds Transfer Security: Safeguard against fraudulent transaction requests
Cloud Security: properly configure cloud-based RIA & productivity systems
Employee Training: Developing a culture of cybersecurity awareness
Risk Assessment: Understand what cybersecurity threats target your RIA
Data Encryption: Protecting sensitive client information at rest and in transit
DOWNLOAD NOW

You have a lot on your plate.

Cybersecurity is one of your responsibilities, but -- if you’re like most firms we meet -- it often takes the back seat to more urgent priorities. 

If you'd like to learn more about how we help protect wealth management firms like yours, click this link to learn more about our Virtual CISO service for wealth management firms. 
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