SEC Cybersecurity Compliance Solutions for Registered Investment Advisors

SEC Compliance is Complex – We Make It Actionable and Defensible

SEC-regulated RIAs must do more than implement basic IT controls – they must demonstrate proactive, documented cybersecurity governance, strategy, and risk management. Regulators now expect timely, decision-useful information about material cybersecurity incidents, and periodic reporting that is standardized and comparable across firms.

If your policies are outdated, not aligned to your technology environment, or missing required documentation, your firm is exposed to significant penalties. Compliance is no longer just a paperwork exercise – regulators want evidence that your systems, disclosures, and leadership are working together to protect clients, operations, and your reputation.

FinGarde bridges the gap between technical controls and actual regulatory expectations.

Our SEC Compliance Program

• Technology Alignment
  We translate written compliance policies into enforceable, technical controls – ensuring that your reporting, monitoring, and incident-response processes match your attestations and filings.

• Regulatory Reporting & Documentation
  Our systems deliver real-time visibility into the status and health of your cyber program. You receive periodic reports, incident documentation, risk assessments, and compliance evidence accessible 24/7 for your review or regulatory submission.

• Custom Assessments
  We build and execute custom risk assessments that test your policies, procedures, and actual technical application. These are tailored to SEC requirements (including Rule 106), designed to surface and remediate gaps before regulators do.

• Filing & Audit Support
  When you need support for SEC filings, examinations, or legal requests, FinGarde works directly with firm leadership to supply standardized, audit-ready documentation.

Why RIAs Trust FinGarde

• Deep Regulatory Knowledge
  We actively track changes in SEC cybersecurity rules and guidance, ensuring your firm stays ahead – not playing catch-up.

• Right-Sized for Every Firm
  Small and midsized RIAs face the same level of scrutiny as large firms – our programs are designed to streamline your compliance burden, not overwhelm your staff.

• Audit-Ready, Always
  All compliance documentation, risk assessments, and incident reports are kept in a secure client portal – available in real time to authorized leadership, compliance officers, and auditors.

Not Sure Where You Stand?

Let us deliver a free, one-time risk assessment for your RIA – focused on surfacing compliance gaps and giving you actionable next steps. Complete the simple form below, and our team will guide you through the process.