SEC compliance requirements are about to change—does your financial services organization have a plan for the future?

7 Cybersecurity and Compliance Foundations for RIA

  • compliance

    Compliance can be overwhelming

  • expert

    Ensure compliance without having to be an expert

  • platform

    Provide compliance for anything technology related for advisors

  • confidence

    Have confidence in your compliance and cybersecurity programs


Registered Investment Advisors (RIAs) are no strangers to compliance regulations. However, in the coming months and years, there are going to be major changes when it comes to cybersecurity and IT requirements. Although it isn’t clear just yet what the SEC will be including in the final rules, RIAs can’t wait until the night before it’s released to develop a strategy and there are already indicators of what will be needed.

Tackling new IT and cybersecurity requirements sooner rather than later will not only keep you ahead of the competition and prevent last-minute scrambling, but it will also ensure your organization lowers the risk of cyberattacks. Take action now to avoid correction letters, deficiency letters, and financial penalties.

Go Beyond Checking the Cybersecurity Boxes

When it comes to cybersecurity, compliance, IT, and your financial services firm, many CCOs are just checking the boxes and going through the motions. In that case, though, are you really protected? Our approach ensures that you’re meeting compliance requirements, working to mitigate risk, reducing the chances of a cyberattack, and keeping up with all regulatory changes. We know the technical side of compliance AND cybersecurity so you don’t have to.

  • Meet Compliance Requirements

    We work with you to make sure your financial services organization is meeting IT and cybersecurity compliance requirements, even as new ones come online.

  • Test Your Policies

    From data retention policies to incident response plans, we use exercises and tests to ensure your policies work in the event of an emergency. This is an especially important piece and something regulators will often look for and find missing at any firms.

  • Reduce Risk

    By doing more than just checking the boxes, your organization can actively work to reduce risk, keep cyber attackers at bay, and prevent breaches.

  • Steer Clear of Correction Letters

    With an IT financial services strategy for the future, not just for today, we can help you steer clear of correction letters, fines, and more.


The platform was built by cybersecurity and compliance experts. The platform not only audits your environment, but also implements a continuous 24/7/365 solution, actively protecting your firm from cybersecurity attacks.

The platform ensures

Your firm has a significantly enhanced cybersecurity posture

Compliance and documentation to prove you are doing what your documentation says you are doing.

Easily track change history, notes, discussions, and who was involved.

…so that you can:

Demonstrate compliance for anything technology related for advisors

Maintain SEC compliance and have peace of mind during regular audits.

Prove that your firm is continually improving.

Meet Compliance And Technology Needs

It’s not one or the other—we work with your business to meet all of your needs when it comes to IT, from data retention to acceptable use and MFA to business continuity plans.

In the financial services sector, reputation is everything. If you receive a deficiency letter or a fine, you have to notify your clients, and a failed audit means more audits on the horizon. But by working with an IT company that understands your unique needs, you can meet these challenges head-on and ensure your reputation doesn’t take a hit.