The SEC has been cracking down on investment management firms for cybersecurity compliance. And rightly so - over 85% of SEC registered firms have never had a proper cybersecurity audit. Most firms are confused on what they need to do to secure their networks and build their compliance documentation for the SEC. That's where we come in. MTradecraft delivers unbiased cybersecurity consulting to SEC registered firms that need to secure their networks, train cyber smart employees, and build compliance documentation for the SEC. We've helped over 200 firms protect their client data and respond easily to SEC regulatory examinations. We are not aligned with any vendors or IT provides which means our focus is 100% on helping our clients operated in a secure manner.
MTradecraft will do the heavy lifting. Once you hire us, you can expect to dedicate 2 hours to see the project completed. That includes helping us get set up for the audit all the way to sitting through the final presentation.
Our audits have three goals:
1) We produce the required SEC documentation so that you can zip right through an audit or examination.
2) We produce written documentation to outline any vulnerabilities we find and provide you with written solutions and screenshots for each.
3) We train your employees to be cyber smart defenders of your network.
Each firm will have a specific set of documentation that is needed to show compliance. For instance, if you have custody of client asset your audit will be much more extensive and documentation heavy to meet your compliance requirements. If you only do financial planning with no asset management, the documentation is much lighter.
Curious what documentation you would need?
Let’s schedule a 15-minute screen-share where I will ask some basic questions about your firm’s IT infrastructure and registration status and then show you some examples of what your documentation you would need to meet your compliance obligations.
99% of the time we can administer the audit remotely.
You will not experience any network connectivity or slow down issues.
Our bias is towards greater security. We are adamant about not having relationships with IT firms (MSPs) or vendors because we want our clients to fully trust our advice. Want to use Office365? Great, we will teach you how to secure it properly. Prefer Google Workspaces? Awesome, we can secure that too. Salesforce? No problem.
Our clients need to know they are hiring MTradecraft for our expertise and should never have to worry about an up-sell or cross-sell at the end of the audit.
We are happy to connect you with clients so that you can hear about their experiences directly from them.