RIA Cybersecurity Solution

Construct and implement a customized cybersecurity compliance program within a single solution.

Make Your Firm's Staff Your Greatest Cybersecurity Defense

Built to follow information security guidance issued by the Securities and Exchange Commission (“SEC”), the MyRIACompliance® cybersecurity solution empowers RIA firms to efficiently construct, implement, and document a robust cybersecurity compliance program within a single solution. Following the NIST cybersecurity framework, our solution is designed exclusively for RIA firms, who face unique cybersecurity risks and regulatory requirements. A cyber insurance offering is also available through our partnership with ProWriters.

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Cybersecurity Solution Tools

RIA Cyber security employee security awareness training

Security Training Awareness

Proprietary online security training videos
for your firm's Chief Compliance Officer
and staff members.

RIA Cyber security email phishing testing

Email Phishing
Attack Simulation

Automatically send test phishing
emails to your firm's staff to gauge
your firm's current level.

RIA Cyber security vendor due diligence

Vendor Due Diligence

Connect with vendors to help automate
your firm's third-party technology vendor
due diligence review and documentation.

RIA Cyber security technology inventory and risk assessment

Technology Inventory
& Risk Assessment

Establish and track employee devices,
system access, and controls through
an automated workflow.

RIA Cyber security information security policy

Information Security Policy

Create, customize, and distribute your firm's information security policy built upon the five pillars of the NIST cybersecurity framework.


Protect your RIA firm with our customized cybersecurity compliance solution

RIA Cybersecurity Solution

  • Record and track employees access to technology systems
  • Tailored cybersecurity employee training and testing
  • Test employees via simulated email phishing attacks
  • Connect with vendors to conduct due diligence
  • Create a customized information security policy
  • MyRIACompliance® users can seamlessly integrate employee cybersecurity monitoring activities into their compliance calendar and compliance log
  • Supervisors can track employee training progress and remind those who have not completed their activities all within MyRIACompliance®

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*Additional fees may apply for additional users.

Document security protocols

Train employees on cybersecurity best practices

Automate cybersecurity compliance on user devices, networks and applications

Comprehensive audit trail & logs of completed training modules and results

Assess risk from third-party vendors 

On-demand interactive security awareness eLearning

Realistic employee phishing simulations

Create a customized information security policy

• Couple MyRIACompliance® with the Cybersecurity solution to streamline activities and log tasks for you in the compliance log

Does the system help address cybersecurity regulatory guidance and focus areas?

Yes, the solution is designed to help RIA firms follow information security guidance issued by the Securities and Exchange Commission's ("SEC") Office of Compliance Inspections and Examinations ("OCIE"). Beginning in 2015, OCIE has specifically listed cybersecurity as an annual examination priority for RIAs. In more recent exam priority guidance, the OCIE staff has noted six specific focus areas: governance and risk assessment, access rights and controls, data loss prevention, vendor management, training, and incident response. The MyRIACompliance® cybersecurity platform helps to address each of these focus areas by empowering an RIA firm to efficiently construct, implement, and document a robust cybersecurity compliance program.

It is critical for RIA firms to prioritize cybersecurity, not only to fulfill their fiduciary duty to protect client information, but also to remain compliant and to prevent business disruption. 

The solution is built upon the National Institute of Standards and Technology ("NIST") information security framework and provides security awareness training, email phishing attack simulation, technology inventory and risk assessment, as well as the ability to build a customized information security policy.


Does the system follow the NIST cybersecurity framework?

Yes, the MyRIACompliance® cybersecurity solution builds upon the NIST cybersecurity framework to help your firm implement a robust cybersecurity compliance program. NIST is the acronym for the National Institute of Standards and Technology, a government agency within the U.S. Department of Commerce that fosters cybersecurity research, education, and collaboration. As part of that effort, NIST has developed a cybersecurity framework to help organizations of all sizes to identify, assess, and manage cybersecurity risks. Notably, the Securities and Exchange Commission not only utilizes the NIST framework to help manage its own cybersecurity program, but has also commonly referenced the approach when issuing information security guidance to investment advisers.

The proprietary solution is designed exclusively for RIA firms of all sizes who face unique people, technology, and third party vendor cybersecurity risks and regulatory requirements

The MyRIACompliance Cybersecurity solution was created for both state and SEC registered RIA firms. The solution can be customized to your firm’s unique needs through connection sourcing and by pairing it with our MyRIACompliance® platform.

MyRIACompliance users will benefit from the integration capabilities, which streamline action items including confirming employees and technology vendors, security awareness training,  and maintaining the compliance log.

Users who choose the cybersecurity solution as a standalone solution can efficiently complete their supervisory duties.

• Proactive cybersecurity risk mitigation and reporting per NIST guidelines

Custom Cybersecurity P&P Manual 

• In-house developers continuously innovating to keep up with the ever-changing world of technology and compliance requirements

Simple interface, user-friendly 

• Mitigate cybersecurity risk with supervisory capabilities

• Receive expert guidance from Compliance Consultants for complex issues when utilizing our Enhanced Service 

• Collaborate with client advocates to customize the tool to match your firm’s needs 

Protect Your Firm With Cybersecurity Insurance

RIAs now have streamlined access to leading cybersecurity insurance plans to help protect their firms from financial losses in the event of a cybersecurity breach through our partnership with ProWriters and AssetSure.  Directly through our MyRIACompliance® platform, RIA in a Box® clients will have easy access to the ProWriters platform, which populates cyber insurance quotes from multiple carriers based on each firm's individualized needs.

Learn More

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