Cybersecurity Assessment for RIAs | Solanasis
SEC examiners will ask about your cybersecurity controls. Will your answers hold up?
SEC Examiners Will Ask About Your Cybersecurity Controls. Will Your Answers Hold Up?
Examination priorities for 2026 put cybersecurity at the top of the list. So if your firm can't demonstrate tested recovery, documented vendor oversight, and a practiced incident response capability, the gap between what you have and what examiners expect could become a problem.
Regulation S-P Compliance Deadline: June 3, 2026
The SEC's updated Regulation S-P requires a written incident response program, expanded service provider oversight, and client notification within 30 days of unauthorized access.
The Blind Spots Examiners Find Most Often
Untested disaster recovery
Most firms have backups running; few have tested a full restore and documented the results. When an examiner asks "when did you last verify your recovery works?" the answer needs to be specific, not a guess.
Vendor blind spots
Your custodian, CRM, and cloud providers all handle client data. Reg S-P now requires expanded oversight, including contractual provisions for breach notification within 72 hours.
Documentation that doesn't match reality
Having a WISP is one thing. Having one that reflects what your firm actually does is something else entirely. Drift is the hidden risk here; the policy stays the same while systems change.
Incident response never rehearsed
SEC examination guidance identifies practiced incident response as an "observed good practice." A plan nobody has walked through is false comfort.
10-Day Compliance Readiness Assessment
Fixed scope. Fixed fee. Minimal disruption.
What we do
- ✓Gap analysis mapped to what SEC and state securities examiners actually look for
- ✓Real disaster recovery test. We restore your data, time the process, and prove it works
- ✓Vendor risk review against Reg S-P service provider requirements
- ✓Prioritized readiness roadmap you can actually execute
What you get
- •Gap analysis with regulatory mapping (SEC, state, NIST CSF)
- •Risk register: prioritized, evidence-backed
- •90-day readiness roadmap with owners and deadlines
- •Readiness maturity scorecard
- •Disaster recovery report and restore runbook
- •Executive summary for your managing partner or board
How We Fit
Your compliance consultant handles regulatory strategy and examination preparation. Your MSP or IT provider handles day-to-day technology. We fill the gap between them: the verification and proof layer that makes their work hold up under examination.
Do you work with our existing compliance consultant?
Absolutely. Your compliance consultant handles the regulatory interpretation, policy development, and examination coaching. We handle the technical implementation and verification: testing whether backups actually restore, reviewing vendor security posture, documenting evidence that controls are operational. We coordinate with your consultant and your IT provider; we compete with neither.
What Happens Next
Hand off cleanly. Take the deliverables and execute with your existing team. Many firms do this.
Remediation sprint. We close the top gaps in 2-4 weeks. Fixed scope, fixed fee.
Fractional Cybersecurity Partner. Ongoing oversight so your compliance posture doesn't drift back to where it started.
No email required. Just download it.
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