Cybersecurity Program For RIAs

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
  • Cybersecurity Incident Response Plan
  • 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

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