Cybersecurity Gap Assessments
Is your RIA’s Cybersecurity Posture up to the SEC expectations? We can help you get your program up to current standards and requirements before any issues happen.
We offer a comprehensive, independent cybersecurity assessment mapped to:
✔ SEC Cybersecurity Best Practices
✔ Reg S-P Safeguards Rule
✔ SEC Books & Records (204-2)
✔ FINRA Notices 21-29 & Rule 4370
✔ NIST Cybersecurity Framework (CSF)
You receive a full gap analysis, remediation roadmap, and clear recommendations based on your existing controls.
WHAT WE DO
- Independent cybersecurity assessments
- Verify your existing controls
- Identify regulatory gaps
- Evaluate cybersecurity maturity
- Provide prioritized remediation plans if any issues are identified
- Review your incident response readiness
- Test vendor oversight processes
- Assess technical, operational & governance controls
We are proactive by design, ensuring your assessment is unbiased, regulator-ready, and defensible.
OUR ASSESSMENT FRAMEWORK
Your cybersecurity posture is evaluated across core domains to fully aligned SEC and FINRA expectations:
WHAT YOU RECEIVE
✔ Complete Cybersecurity Gap Assessment
✔ Detailed Written Final Report
✔ Regulator-Ready Documentation
Designed for:
- SEC exams
- FINRA cycle exams
- State regulator inquiries
- Due diligence responses
- Cybersecurity insurance underwriting
✔ Executive Presentation
IDEAL FOR FIRMS THAT WANT:
✔ An independent cybersecurity review
✔ A gap assessment to prepare for SEC’s cybersecurity expectations
✔ A FINRA exam readiness evaluation (if applicable)
✔ Documentation required by:
- Investors
- Custodians
- Compliance consultants
- Insurance providers
✔ A conflict-free third-party evaluation
✔ A clear roadmap for improving cybersecurity maturity
Optional Enhancements:
Quarterly Cyber Oversight Support
We attend quarterly meetings to review risks, incidents, and remediation progress.
Vendor Risk Program Setup
We design a right-sized vendor evaluation workflow.
Incident Response Tabletop Exercise
Regulator-prepared scenario testing.
Cyber Insurance Application Advisory
Review documentation & identify gaps insurers look for.