Resources
Practical Tools You Can Use Today
These are tools we use with our own clients, free for your firm to download and use. No sign-up needed.
About the Checklist
A 10-minute self-check for small broker-dealers and RIAs: nineteen yes-or-no questions on the cybersecurity basics examiners and insurers ask about.
It isn't a technical test of your systems. It's a plain-English look at what your firm has in place today, so you can find the gaps before an examiner, an insurer, or an attacker does.
What It Covers
1 | Logins & Access
Multi-factor authentication, unique passwords, and removing access the same day someone leaves.
2 | Vendors & Client Data
Where client information lives, which vendors can reach it, and whether they have to tell you about a breach.
3 | Money Movement & Backups
Call-backs on any change to wire instructions, backups kept separate from your main systems, and a tested restore.
4 | What You Walk Away With
Every No or Don't know gets an owner and a target date. You finish with your top three gaps and a signed, dated record you can show an examiner.
Found a gap you'd like help closing? Our Incident Response Essentials service turns this checklist into a written incident response plan, a one-page action checklist, and a contact card your team can grab during an incident.
Not sure where to start? That's what a short call is for.