It’s possible that your firm – regardless of size – could be audited by the SEC for compliance with these requirements. If this happens, they’ll be looking for signs of established policies, appropriate roles, assessment of potential vulnerabilities, correction of possible security flaws, and creation of response plans in case a cybersecurity incident were to occur.

Your clients trust you with very important, private information. It’s your responsibility to keep it safe, and out of the hands of unauthorized users.

Are you doing everything you can to safeguard their private information?

Download the white paper by filling out the form below to find out more information.