Ace Tech Systems helps Miami-area financial advisory firms meet SEC Regulation S-P, Rule 206(4)-9, and FINRA cybersecurity expectations with a free Cybersecurity Risk Assessment.
Get Free Cybersecurity Risk AssessmentSEC Regulation S-P (amended) requires every registered investment adviser to have a written incident response program in place. The compliance deadline for smaller firms is June 2026. SEC Rule 206(4)-9 requires written cybersecurity policies, periodic risk assessments, and incident reporting. FINRA expects a reasonably designed cybersecurity program with documented controls and role-specific employee training. Cyber insurance carriers now require MFA, endpoint detection, tested incident response plans, and security awareness training as mandatory conditions. Florida's Information Protection Act (FIPA) applies to all firms handling investor personally identifiable information.
An SEC examination finding that can trigger enforcement action
Employee credentials exposed on the dark web
Leaving firms open to spoofing and wire fraud
No MFA on email and client portals
Known vulnerabilities in operating systems and software
Nothing to show the SEC examiner during a review
Comprehensive assessment mapped to SEC Regulation S-P and FINRA requirements
SEC-compliant incident response plan that meets the June 2026 deadline
Continuous monitoring for exposed employee and client credentials
SPF, DKIM, DMARC setup and wire fraud protection
24/7 monitoring of all devices for threats and suspicious activity
Secure MFA implementation for email, client portals, and remote access
Continuous surveillance of your network for threats and vulnerabilities
Full-service IT management with month-to-month flexibility
We scan your network, check your email security, run a dark web credential check, and deliver a full compliance report within 24 hours. The report maps your firm's vulnerabilities directly to SEC Regulation S-P and FINRA requirements. No obligation. No cost.
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