The SEC's 2023 cybersecurity rule is not optional. Every registered investment adviser needs a written cybersecurity program — and Titan Tech builds and maintains it for you.
SEC Cybersecurity Requirements Are Now Law
- SEC Rule 206(4)-9 (effective 2024) requires a written cybersecurity policy for all RIAs
- Material cybersecurity incidents must be reported to the SEC within 30 days
- Form ADV Part 2 requires disclosure of cybersecurity risks and significant incidents
- FINRA expects broker-dealers to maintain and test a documented cybersecurity program
- Cyber insurance underwriters are requiring MDR, MFA, and encrypted backups as policy conditions
WHAT YOU GET WITH TITAN TECH
- Written Cybersecurity Policy: SEC Rule 206(4)-9 compliant written policy, procedures, and risk assessment documentation
- SIEM & MDR: Huntress MDR and SentinelOne EDR — the technical controls the rule requires
- Incident Response Plan: Documented IR plan with 30-day SEC reporting procedures and escalation paths
- Annual Risk Assessment: Documented annual cybersecurity risk assessment to satisfy ongoing program requirements
- Vendor Risk Management: Third-party risk documentation for all technology vendors handling client data
- Form ADV Support: Documentation to support your cybersecurity risk disclosure in Form ADV Part 2
Written Programs & Annual Assessments That Satisfy Examiners
FINRA and SEC examiners aren't just checking for technical controls — they want to see a documented, tested, and managed cybersecurity program. Titan Tech produces the written policies, risk assessments, and incident response procedures that examiners look for, in the format they expect. We've seen what regulators ask for and we build programs that answer those questions before they're asked.
Annual assessments identify changes to your environment, new regulatory guidance, and gaps that need remediation — with findings documented in a format you can show to examiners or your compliance committee. When an exam notice arrives, you'll have a complete, current program ready to present rather than scrambling to document what you've been doing.
- Written Information Security Policy (WISP) aligned to SEC Rule 206(4)-9
- Annual cybersecurity risk assessment with documented findings
- Incident response plan with defined roles and notification procedures
- Vendor risk management and due diligence documentation
- Exam preparation support and examiner liaison
Worry-free It Is Only 3 Steps Away
Consultation
We review your firm's current cybersecurity posture against SEC Rule 206(4)-9 requirements and identify gaps.
Sign Up
We implement a written cybersecurity program, SIEM, MDR, and the technical controls regulators expect to see.
Deploy
Annual assessments, incident response planning, and ongoing compliance documentation — so you're always prepared for an exam.
Step 1
GAP ASSESSMENT
We measure your current program against SEC Rule 206(4)-9 requirements and identify what's missing.
Step 2
IMPLEMENTATION
We deploy technical controls, write policies, and build your compliance documentation library.
Step 3
MAINTENANCE
Annual assessments, policy updates, and incident response readiness — ongoing compliance support.