Cyber Solutions

Cyber Solutions

Cybersecurity Expertise. Compliance Fluency. Built for RIAs.

Sound cybersecurity programs that mitigate real risk and meet SEC expectations

Effective cybersecurity for an RIA requires two distinct skill sets: the technical depth to reduce risk, and the regulatory fluency to know what the SEC requires and expects. RIA cybersecurity programs need to be both technically sound and well documented.

Fairview’s cyber team was built to bring both together. Our people combine cybersecurity expertise with deep knowledge of SEC rules, guidance, and examination priorities, so every control we help you build serves two purposes at once: reducing your actual risk, and standing up to regulatory scrutiny. The result is one integrated program that lets CCOs and advisers adopt new technology with confidence.


Our Services:

Risk Detection and Mitigation

  • Annual risk assessment
  • Vendor due diligence (including detailed report with findings and recommendations)

Comprehensive Testing

  • Evaluate material requirements included in cyber and data security policies.
  • Cyber and data security employee training
  • Incident response and disaster recovery exercises
  • Custom phishing training
  • Employee training on AI, including approved and prohibited uses

Penetration Tests and Vulnerability Scans

  • Penetration tests
  • Vulnerability assessments
  • Internal & external scans
  • Dark web scanning
  • Domain name system (DNS) records scanning

Policy Development

  • Assessment of current policies
  • Development of new policies and procedures to address regulatory requirements and industry best practices (including those related to AI)

Mock SEC Cyber Exams

  • Request list based on SEC Cyber Exams
  • Mock interviews with employees
  • Review of documentation in response to request list
  • Summary of findings, including recommendations to enhance program

Audit Office 365 Environment

  • Complete security audit, including comprehensive review of Conditional Access, Identify, SharePoint, Exchange, and Data Loss Prevention
  • Tailored recommendations based on unique business needs

Cloud Incident Response & Forensic Testing

  • Comprehensive forensic analysis to identify breach details, access points, and compromised data and client information
  • Summary of findings and recommendations for enhancements

Full Support for Amended Regulation S-P:

Vendor Management Program

  • Vendor due diligence on all required service providers.
  • Assist with confirming service providers will provide notice of an incident within 72 hours, based off the items provided and reviewed.
  • Detailed analysis and documentation of all findings, including potential security gaps.
  • Light passive external scan of all vendors’ public domains.
  • Assistance with reviewing current Vendor Management Policy and/or drafting a Vendor Management Policy to align with Amended Regulation S-P.

Incident Response Program

  • Review and/or draft an Incident Response Plan that addresses identification, containment, eradication, and notification of breaches.

Customer Notification Requirement

  • Provide a “Notice Determination Checklist” and “Notice Template” that can be used in the event customer notification is needed.

Recordkeeping and Expansion of Safeguards and Disposal (including written records)

  • In coordination with our compliance team, draft policies and procedures to meet both of these requirements.