In recent Compliance Outreach Seminars, SEC examiners have announced that they will be scrutinizing investment advisers’ efforts to protect their clients’ sensitive information from cyber threats. State examiners have also started questioning investment advisers about their efforts to implement cybersecurity measures. Because regulators have made cybersecurity a high priority, investment advisers must be prepared to demonstrate what steps they have taken to fulfill their obligations in this area.

Designed for use by small and mid size investment advisers, RIA Compliance Group’s Cybersecurity Readiness Program can help investment advisers get ready for the inevitable questions from examiners regarding their efforts to protect clients from cyber attacks. Priced at $599, the Cybersecurity Readiness Program is provided as an easily customizable Microsoft® Word template and can be adopted without the assistance of a securities attorney or compliance consulting firm.

Our all-inclusive price includes:

  • Cybersecurity Policies and Procedures Template
  • Cybersecurity Risk Assessment
  • Written Information Security Program
  • Identity Theft Program
  • IT Inventory List
  • Privacy Policy Review
  • Information Security Task List
  • Identity Theft Red Flags
  • Disaster Recovery Plan Review
  • Cybersecurity Incident Response Plan

For a limited time, you can also purchase the Cybersecurity Readiness Program along with a one hour compliance consulting session for $799.

Although we recommend consulting with an IT professional to implement the cybersecurity plan, we are available to assist our clients and their IT professionals with the customization and implementation of this program.

About RIA Compliance Group: RIA Compliance Group is an investment adviser compliance consulting firm based in Boca Raton, Florida. The firm’s mission is to provide affordable, timely, practical, and cost-effective compliance advice. We help investment advisers to comply with the myriad of state and SEC regulations and compliance obligations facing their firms. RIA Compliance Group takes pride in giving personal service and real world compliance advice, not theoretical concepts and legalese. The firm interacts on a daily basis with SEC and state securities regulators.

RIA Compliance Group, LLC – 5301 North Federal Highway, Suite 380, Boca Raton, FL 33487 –
Tel: 561-600-0564 –