Financial Services Cybersecurity Checklist
A structured, actionable checklist covering the controls that matter most for financial firms — from SEC cybersecurity rule compliance and access controls to email security, incident response planning, vendor risk management, and data protection standards.
What the Checklist Covers
SEC Cybersecurity Rule Compliance
Key requirements from the SEC's 2023 cybersecurity disclosure rules and what they mean for your firm's operations.
Critical Access Control Configurations
MFA, privileged account management, and least-privilege settings that underwriters and regulators expect.
Email Security Best Practices
DMARC, DKIM, SPF configuration and anti-phishing controls specific to financial communications.
Incident Response Plan Essentials
The core components of an IR plan that satisfies SEC notification requirements and limits breach impact.
Third-Party Vendor Risk Assessment
A structured framework for evaluating and documenting the security posture of custodians, vendors, and SaaS providers.
Data Protection and Encryption Standards
Encryption requirements for client data at rest and in transit — with practical implementation guidance.
Who This Is For
This checklist is designed for organizations that handle financial data and operate under regulatory oversight — whether or not they have a dedicated IT security team.
- Capital management firms and registered investment advisors (RIAs)
- Family offices and private wealth management practices
- Independent financial advisors and broker-dealers
- Accounting firms handling financial data
- Any business subject to GLBA, FINRA, or SEC cybersecurity requirements
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