What Makes Securing Compliance Different?
Securing Compliance is MTradecraft’s flagship research document and your unfair advantage in preparing for SEC exams. Unlike generic guides or outdated checklists, this resource brings together cybersecurity and IT-related request made by the SEC to registered firms—summarized, organized, and explained for practical use.
PLUS: It includes detailed oversight of each SEC regulation and guidance on how every requirement specifically applies to SEC-registered investment advisers (RIAs).
Inside, You’ll Find:
- A copy-and-paste compilation of all SEC exam requests related to cybersecurity and IT—curated from years of real-world exam notices and document requests
- Clear, organized summaries so you can instantly see what the SEC is likely to ask for in your next exam
- Context and commentary on each request, helping you understand what’s truly important and where most firms fall short
- Comprehensive regulatory oversight—each relevant SEC rule is explained in plain English, with practical analysis of what it means for SEC-registered RIAs
- Practical insights on how to efficiently prepare and organize your own documents—so you’re ready to respond with exactly what’s needed, nothing more and nothing less
- Authoritative, vendor-neutral guidance from consultants who’ve supported over 250 SEC-registered firms through the exam process
Who Should Download This Guide?
- Chief Compliance Officers preparing for an exam or audit
- IT and cybersecurity leads who need to understand SEC priorities
- Firm owners, consultants, and legal teams seeking clarity on documentation expectations and exam trends
Why MTradecraft?
- Trusted by 250+ SEC-registered firms
- Fiercely independent—no vendor bias, no software pitches
- Practical, actionable expertise grounded in real-world exam experience