Financial Advisor CyberSecure
Starter Kit$149
Professional$249
Financial advisor cybersecurity
Reg S-P cybersecurity policies and WISP for RIAs
A Written Information Security Plan organized around the amended Regulation S-P, with incident response and customer notification steps, identity theft red flags and money-movement verification.
- Editable Word & Excel
- Instant download
- One-time purchase
Why it matters
What the amended Regulation S-P requires
The SEC's 2024 amendments to Regulation S-P require covered firms to adopt an incident response program, notify affected customers within 30 days when sensitive customer information is accessed without authorization (unless a documented determination finds no substantial harm), and oversee service providers, who must notify the firm within 72 hours.
Larger advisers had to comply by December 3, 2025, and smaller advisers by June 3, 2026. Regulation S-ID also requires an identity theft red flags program for many advisers.
State-registered advisers generally fall under the FTC Safeguards Rule instead. The kit is written so either type of firm can use it, with an exam-readiness map to show your work.
What's inside
Every file in each edition
Policy numbers carry over from the Starter Kit to the Professional Edition, so you can start small and upgrade without renumbering.
Starter Kit
$14924 editable files
Policies 15
- FA-CYB-001Information Security Program & Governance Policy
- FA-CYB-002Risk Assessment & Customer Information Inventory Policy
- FA-CYB-003Access Control & Least Privilege Policy
- FA-CYB-004Multi-Factor Authentication Password Policy
- FA-CYB-005Encryption & Secure Client Communication Policy
- FA-CYB-006Acceptable Use & Workstation Security Policy
- FA-CYB-007Email Security, Phishing & Impersonation Policy
- FA-CYB-008Personnel Security & Confidentiality Policy
- FA-CYB-009Security Awareness & Training Policy
- FA-CYB-010Physical Security & Clean Desk Policy
- FA-CYB-011Backup, Recovery & Business Continuity Policy
- FA-CYB-012Records Retention & Secure Disposal Policy
- FA-CYB-013Service Provider & Custodian Oversight Policy
- FA-CYB-014Incident Response & Customer Notification Policy
- FA-CYB-015Remote Work & Mobile Device Policy
Plans, guides & assessments 8
- WordImplementation Guide
- WordStaff Cybersecurity Quick Guide
- WordIncident Response Plan
- WordWritten Information Security Program (WISP)
- WordClient Security & Money Movement Notice
- Word30-60-90 Day Action Plan
- Word50-Point Cybersecurity Checklist
- WordCybersecurity Maturity Assessment
Workbook 1
- ExcelFinancial Advisor CyberSecure Toolkit
Professional Edition
$24942 editable files
Policies 21
- FA-CYB-001Information Security Program & Governance Policy
- FA-CYB-002Risk Assessment & Customer Information Inventory Policy
- FA-CYB-003Access Control & Least Privilege Policy
- FA-CYB-004Multi-Factor Authentication Password Policy
- FA-CYB-005Encryption & Secure Client Communication Policy
- FA-CYB-006Acceptable Use & Workstation Security Policy
- FA-CYB-007Email Security, Phishing & Impersonation Policy
- FA-CYB-008Personnel Security & Confidentiality Policy
- FA-CYB-009Security Awareness & Training Policy
- FA-CYB-010Physical Security & Clean Desk Policy
- FA-CYB-011Backup, Recovery & Business Continuity Policy
- FA-CYB-012Records Retention & Secure Disposal Policy
- FA-CYB-013Service Provider & Custodian Oversight Policy
- FA-CYB-014Incident Response & Customer Notification Policy
- FA-CYB-015Remote Work & Mobile Device Policy
- FA-CYB-016Identity Theft Red Flags Program Policy
- FA-CYB-017Money Movement & Account Change Verification Policy
- FA-CYB-018Vulnerability Management & Security Testing Policy
- FA-CYB-019Generative AI, Electronic Communications & Cloud Policy
- FA-CYB-020Privacy Notice & Information Sharing Policy
- FA-CYB-021AI Governance Policy
Plans, guides & assessments 10
- WordProfessional Edition Implementation Guide
- WordIncident Response Plan & Playbooks
- WordTabletop Exercise Kit
- Word30-60-90 Day Action Plan
- WordStaff Cybersecurity Quick Guide
- WordWritten Information Security Program (WISP)
- WordClient Security & Money Movement Notice
- Word50-Point Cybersecurity Checklist
- WordCybersecurity Maturity Assessment
- Word50-Question Financial Advisor Cybersecurity Self-Assessment
Forms & templates 10
- FORM-01Money Movement & Account Change Verification Form
- FORM-02Access Request Form
- FORM-03Staff Offboarding Checklist
- FORM-04Software, SaaS & AI Tool Request Form
- FORM-05Security Exception Request
- FORM-06Incident Intake Form
- FORM-07Service Provider Security Questionnaire
- FORM-08Confidentiality Policy Acknowledgment Form
- FORM-09Customer Notification Determination Worksheet
- FORM-10Annual Cybersecurity Review & Management Report
Workbook 1
- ExcelFinancial Advisor CyberSecure Professional Toolkit
Free download
Free Financial Advisor cybersecurity self-assessment
Answer 50 yes / no / not sure questions across 10 areas. Score your results and get clear next steps for your industry.
- Small Business, Law Office, Real Estate, Healthcare, Accounting & Tax, Insurance Agency, Financial Advisor, Auto Dealer, Mortgage & Title, and Cyber Insurance Readiness editions
- Starred priority questions and a scoring table
- Printable PDF
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Download the PDFQuestions about your results? Email info@cybriva.ai.
Questions
Financial Advisor kit FAQ
Does this cover Regulation S-ID?
Yes. The Professional Edition includes an Identity Theft Red Flags (Reg S-ID) policy.
Is there a customer notification worksheet?
Yes. FORM-09 walks through the customer notification determination required under the amended Regulation S-P.
What format are the files in?
Editable Microsoft Word policies, plans and forms plus an Excel workbook. You download everything right after checkout and customize it for your organization.
Can I start with the Starter Kit and upgrade later?
Yes. The Professional Edition keeps every Starter Kit policy under the same ID number, so nothing you have already customized gets renumbered.
Is this legal advice or a certification?
No. Cybriva provides templates and education. It is not legal advice, an audit, a certification or a guarantee of compliance or security. Have your attorney review documents that carry legal obligations.