Blogs

Every RIA examiner request starts the same way: produce the emails. Choosing between Smarsh, Global Relay, and Microsoft for compliance email archiving comes down to how much retrieval, supervision, and eDiscovery work you want your archive to handle on its own versus how much your compliance team will manage manually.

The real value of any RIA cybersecurity policy template comes from how you customize, test, and operationalize it after you download it.

If you run an RIA, you have probably heard two different things called "the SEC cybersecurity rule." One was proposed, drew heavy comment, and never took effect. The other is amended Regulation S-P, and it is the rule your firm actually has to follow today.

ule 204-2 under the Investment Advisers Act of 1940 sets out exactly what records your firm must create, how long you must keep them, and how fast you must produce them when the SEC asks. Most firms know that much.

What Actually Happens During an SEC Cybersecurity Exam

Your website is not just a marketing tool. Under the SEC Marketing Rule, it is a live compliance surface that regulators can review at any time.

You write a cybersecurity policy that the SEC will accept by making it operational, specific, and tied to how your firm actually manages risk and fights a cybersecurity threat.

The SEC now requires service providers to notify you within 72 hours of becoming aware of unauthorized access to customer information systems they maintain.

See the SEC 2026 exam priorities: cybersecurity, Reg S-P, AI controls, and what examiners check first at RIAs and broker-dealers.

Complete Reg S-P compliance checklist for RIAs. Get audit-ready before the June 3, 2026 deadline with practical steps and policy templates.

Missing the Reg S-P deadline triggers SEC scrutiny, fines, and remediation costs. See penalties and how to get compliant fast.

RIA email archiving guide: SEC and FINRA requirements, top archiving solutions, and best practices to stay audit-ready year round.

IT compliance best practices for RIAs: SEC and FINRA standards, evidence documentation, and modern solutions for audit readiness.

SEC compliance IT checklist for RIAs and broker-dealers. Cybersecurity, Reg S-P, recordkeeping, and incident response basics covered.

Cyber insurance readiness for RIAs: SEC and FINRA expectations, controls insurers want, and how to qualify for better rates.

Vendor risk management for financial firms: due diligence, contracts, ongoing monitoring, and SEC and FINRA expectations.

Cloud security for financial advisors: SEC and FINRA-aligned best practices, encryption, access controls, and vendor oversight.

Build compliance-ready IT infrastructure for financial firms: SEC and FINRA-aligned controls, audit logging, encryption, and incident response.

Cybersecurity audits for RIAs: prep checklist, evidence to gather, common findings, and how to pass SEC examinations with confidence.