Cyber risk and regulatory gap assessments
Scoped to the firm’s environment, responsibilities and business priorities.
Cybersecurity for Registered Investment Advisers
Turn regulatory expectations into a practical security program your firm can operate and defend.
Cybersecurity consulting for registered investment advisers, including risk assessments, SEC readiness, Reg S-P support, vendor oversight and incident planning.
The operating context
Security decisions must fit the firm.
Registered investment advisers must protect customer information while managing cloud platforms, custodians, portfolio systems, remote work and outsourced IT. Policies alone are not enough. The evidence must show that controls operate and issues are addressed.
What is at stake
Risks that deserve a connected response.
- Protection of customer records and information
- SEC examination and documentation expectations
- Vendor oversight and incident notification dependencies
- Email compromise, account takeover and fraudulent transfers
Relevant capabilities
Cybersecurity services for RIAs.
Regulation S-P program and vendor oversight support
Scoped to the firm’s environment, responsibilities and business priorities.
Policy testing and mock regulatory audits
Scoped to the firm’s environment, responsibilities and business priorities.
Microsoft 365, SaaS and cloud security assessments
Scoped to the firm’s environment, responsibilities and business priorities.
Incident response plans and tabletop exercises
Scoped to the firm’s environment, responsibilities and business priorities.
Ongoing vCISO and remediation oversight
Scoped to the firm’s environment, responsibilities and business priorities.
One accountable view
Assessment, action and oversight stay connected.
The Elteni Platform can bring findings, vendors, vulnerabilities, monitoring signals, evidence and remediation into one client view.
Explore the platform →Frequently asked
Questions from RIAs.
Does Elteni provide legal advice?
No. We provide cybersecurity and operational guidance and work with the firm’s counsel and compliance professionals when legal interpretation is required.
Can you help prepare for an SEC examination?
Yes. We can test whether the cybersecurity program is supported by current evidence, identify gaps and help organize remediation and documentation.
Can you review custodians and other critical vendors?
Yes. Our vendor program supports risk tiering, diligence, evidence review, findings, remediation and ongoing monitoring.