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