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This Is Not Your Average RIA Compliance Checklist
It is a comprehensive guide that pairs an IT security compliance checklist with an eBook. Inside you’ll find what your firm must do to satisfy the SEC’s cybersecurity compliance requirements. The guide takes you through the key areas the SEC cares about, helps you prioritize your IT investments, and lays a solid security foundation that shows clients you take their data security seriously.
Download This eBook if You Want To:
- Understand what the SEC expects from your firm
- Expose and mitigate risks you didn’t know existed
- Strategically plan your cybersecurity and compliance journey
- Address the largest, missed vulnerability your firm faces
- Adopt the latest approaches to stopping breaches
After Downloading Your Cybersecurity RIA Compliance Checklist You Will …
Make better budget decisions
The Securities and Exchange Commission (SEC) has repeatedly warned that registered investment advisors (RIAs) and financial firms underspend on cybersecurity. Proposed regulations require additional investment to maintain compliance.
Use this eBook to make responsible IT security investments that satisfy the SEC requirements and your clients, and avoid spending on solutions you don’t need.
Maintain client, partner and vendor trust
Surveys consistently show over half of respondents would switch providers after a breach. With this checklist, you’ll mitigate the risk that you’ll lose business and prove you’re a trustworthy partner.
Decrease risk exposure
Measures the SEC wants you to enact are grounded in cybersecurity and IT best practices. Implementing them helps you maintain compliance while simultaneously decreasing the chances you’ll suffer downtime from a cyberattack, accident, or natural disaster.
Underinvesting in Cybersecurity and Compliance Can Cause Irreversible Harm for Your Firm
Legal penalties and fines
Money you could have invested in growing your business, hiring, or improving client experience goes instead to paying a fine you could have avoided with the right investments.
Loss of clients and reputation
Clients and potential clients who doubt your dedication to data security and protecting their personal information will not work with you.
Exposure to cyberattacks
Without these safeguards in place, it is easier for criminals to breach your systems.
Why You Can Trust Our Expert Consultants
itSynergy, a managed service provider (MSP) based in Phoenix, has supported businesses and financial services companies since 1997. With our focus on partnership and client success, itSynergy is regarded as trusted technology advisors.
A unique blend of expertise
itSynergy’s founder and president, Michael Cocanower, is a Certified Ethical Hacker who has also earned the Investment Adviser Certified Compliance Professional® (IACCP®) designation. It is a rare combination of expertise in compliance and cybersecurity that itSynergy uses to address the specific needs of registered investment advisors.
Certified Ethical Hackers have proven their ability to safeguard organizations against existing and emerging cyberthreats.
The IACCP® designation is awarded by NRS Education and co-sponsored by NRS and the Investment Advisers Association (IAA). It recognizes advanced knowledge and skills in investment adviser compliance. The certification process ensures a deep understanding of compliance regulations and securities laws.
The addition of the IACCP® designation further enhances our ability to deliver top-quality service to financial services companies.
Build a Stronger, Safer Firm
Download your RIA compliance checklist now.