For Advisors, CPAs, Insurance Agencies & Fintech

The FTC Safeguards Rule applies to you. We make it manageable.

If you handle customer financial information as an RIA, CPA firm, insurance agency, mortgage broker, or fintech, federal law requires a written information security program with a named responsible individual. Most small firms do not have one. That is fixable, on a fixed fee.

Book a Safeguards Readiness Call

What the rule actually requires

A written program, not good intentions
A documented information security program with a designated qualified individual, risk assessments, access controls, encryption, MFA, and vendor oversight. Enforcement actions against small firms are real.
Your custodians & partners check
Broker-dealers, custodians, and carriers increasingly require proof of your security program before and during the relationship. Due-diligence questionnaires are the new normal.
Growth companies face more
Fintechs selling to banks and enterprises inherit SOC 2 expectations, vendor reviews, and AI governance questions on top of Safeguards. We scope each as its own program, never buried in a bundle.
The Safeguards Program

Assessment → program → proof. Fixed fees at every step.

Step 1 · Safeguards Gap Assessment
Fixed fee · from $2,500 · 2 to 3 weeks
Your current posture measured against every element of the rule, with a prioritized remediation roadmap and honest cost estimates before you commit to anything.
Step 2 · Program Build
Fixed-fee project · scoped from your assessment
The written information security program, plus MFA, encryption, access controls, a vendor inventory, an incident response plan, and staff training, all documented so it holds up to scrutiny.
Step 3 · Compliance Retainer
From $1,500/mo · stacks on managed IT
Ongoing monitoring, annual risk assessment refresh, evidence collection, and DDQ support, plus the named qualified-individual role, carried inside the retainer where it belongs.
Straight talk: we implement, document, and produce evidence. Regulators and auditors judge compliance. Any provider who promises “guaranteed compliance” in a flat bundle is promising something they cannot deliver, which is exactly why we do not.
Find Out Where You Stand

Book your Safeguards Readiness Call