With the SEC’s growing focus on cybersecurity, RIAs are being required to significantly enhance their cybersecurity programs. A Mock SEC Cyber Exam is a great way to test your program and ensure you are prepared for a potential SEC Cyber Sweep Exam.

Services Include:

Request List

Issuing a request list based on SEC Cyber Exams

Mock Interviews

Conducting mock interviews with employees

Review Documentation

Reviewing documentation submitted in response to the request list

Summary of Findings

Providing a summary of findings, including recommendations to enhance program

About our Cyber Solutions Practice:

Our Cyber Solutions services directly align with the SEC’s proposed Cybersecurity Risk Management Rules and Outsourced Provider Rule, which would require advisers to adopt and implement written cybersecurity policies and procedures and produce an annual cyber report.

Our team of cybersecurity and regulatory experts assist firms in building SEC cyber policies and data security programs with documented testing reports to assess the firm’s protection of sensitive client and firm information. We work to thoroughly review and revise existing policies and procedures and create a custom testing program, with the goal of generating sustainable, well-documented cybersecurity programs reflective of industry best practices and regulatory expectations.

Services include:

• Polices and Procedures
• Comprehensive Testing
• Phishing Training
• External and Internal Scans
• Threat Monitoring