RIA Cybersecurity Solution

The MyRIACompliance® cybersecurity solution empowers an RIA firm to efficiently construct, implement, and document a robust cybersecurity compliance program with a single solution. The solution is designed exclusively for RIA firms of all sizes who face unique people, technology, and third party vendor cybersecurity risks and regulatory requirements. A cyber insurance offering is also available through our partnership with ProWriters.

RIA Cybersecurity Solution

Starting at


per month

  • 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

Schedule a Demo


RIA Cyber security employee security awareness training

Security Awareness

RIA Cyber security email phishing testing

Email Phishing
Attack Simulation

RIA Cyber security vendor due diligence

Vendor Due

RIA Cyber security technology inventory and risk assessment

Technology Inventory
& Risk Assessment

RIA Cyber security information security policy

Security Policy

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 solution helps to address each of these focus areas by empowering an RIA firm to efficiently construct, implement, and document a robust cybersecurity compliance program. 

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.

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updated cyber screens-04-1


Our solution makes your firm's staff your greatest cybersecurity defense.