A Midwest RIA reached out because they had a data breach and were being investigated by the SEC. The SEC Auditors had told the firm that they were not going to pass the audit and needed help. They came to us because we were recommended by a third party.
Our team came onboard to address the firm’s existing gaps in security, and to protect the firm and its data going forward. We also documented all of the new processes, procedures and technology that we put into place to remediate its cybersecurity issues.
When the SEC met with the RIA, the meeting was over in record time and the firm had passed the audit. According to the firm’s Managing Partner, “The SEC Auditor spent less than five minutes with us discussing our security once they found out we had partnered with [you].”