Home|Cybersecurity Services|Mock Regulatory Cybersecurity Exams

TEST YOUR CYBERSECURITY PROGRAM COMPLIANCE

Elteni’s Mock Regulatory Cybersecurity Exams prepare you for SEC, NFA, and FINRA Cybersecurity Examinations.

Elteni conducts a simulated examination that is focused on policies and processes, compliance with the policies and processes, and evidence collection and analysis to identify items that may be considered a deficiency, from a regulatory perspective.

BENEFITS

The benefits of performing a mock regulatory cybersecurity exam includes:
  • Assist you with interpreting the examination request list
  • Prepare you for SEC, NFA, and FINRA exams
  • Identity potential gaps/deficiencies and provide recommendations for how to correct them
  • Provide assurance of your cybersecurity program

If you are signed up for Elteni Vision or Elteni 365 a gap anlysis is included. Mock Regulatory Cybersecurity Exams are an additional fee.

Assess & Comply

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OUR METHODOLOGY

DOCUMENT REQUEST LIST

Document Request List

We provide you with a request list (similar to those you would receive from the regulators). You provide us with evidence of your program.

INTERVIEWS

We interview your employees

We conduct interviews of various employees in you firm. Our goal is to identify where the deficiencies are, if any.
REPORTING

Get a detailed report

We can deliver a report in written or oral form. The report details our findings, both good and bad.

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