For RIAs, Advisors & Insurance
Are Your Written Safeguards Examination-Ready?
SEC Reg S-P, GLBA and the FTC Safeguards Rule all require advisors to maintain written policies that protect client data. Enter your domain or email for an instant audit.
What Regulators Expect From Your Practice
Whether you answer to the SEC, a state securities regulator, or FINRA, the throughline is the same: documented safeguards for nonpublic client information, tested and reviewed — not just promised.
1. Written Safeguards Program
Reg S-P and GLBA require documented policies covering how client data is collected, protected and disposed of. Examiners ask to see it.
2. Secure Client Communications
Authenticated, encrypted email and transport security so account details and statements can't be intercepted or spoofed — the first things our audit scores.
3. Test, Train & Oversee Vendors
Annual testing, security-awareness training, and oversight of custodians and tech vendors that touch client data.
The Golden Rule: Document your safeguards and review the program annually.
Be ready before the exam letter arrives
Run the free audit and use automated reports to document email and domain controls for your written information-security program.
See Services & PricingState AG Watch
Financial-Services Breaches in AG Reports
Banks, credit unions, RIAs, and insurers filed dozens of breach notices with Texas and Washington AGs in 2026. Reg S-P and GLBA both require documented safeguards — and examiners increasingly ask to see email authentication evidence.
Interactive Tracker
Texas Financial Services Breaches: 2026 OAG Reports
Texans affected by 2026 breach notices from banks, credit unions, and financial firms, by month
Show largest 2026 financial-services breach reports
| Entity | Published | Texans affected | Sector |
|---|---|---|---|
| DriveWealth | Oct 2, 2026 | 2,556,688 | Financial |
| Heights Finance Holdings Co. | Aug 14, 2026 | 734,828 | Financial |
| AssuranceAmerica Managing General Agency, LLC | Jun 26, 2026 | 500,987 | Financial |
| Motility Software Solutions | Oct 23, 2026 | 194,755 | Financial |
| Frost Bank | May 20, 2026 | 191,848 | Financial |
Source: Texas Attorney General - Data Security Breach Reports, industry-filtered. Data current through Nov 6, 2026.