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SEC examination readiness self-assessment
1. Do you maintain documented compliance policies aligned with the Advisers Act?
*
Q1
A
Yes, reviewed regularly
B
Yes, but not updated recently
C
Partially documented
D
Not sure
2. Does your firm require multi-factor authentication for email and critical systems?
*
Q1
A
Yes, documented and tested
B
Documented but rarely reviewed
C
Basic Security Tools Only
D
Not formally defined
3. If a cybersecurity incident occurred today, does your firm have a documented incident response plan?
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Q3
A
Yes, documented and tested
B
Documented but never tested
C
Informal process
D
No defined process
4. Which best describes your firm's protection against phishing attacks?
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4. Which best describes your firm's protection against phishing attacks?
A
Advanced filtering and employee training
B
Basic filtering only
C
Minimal controls
D
Not sure
5. Do you evaluate third-party technology providers for security and compliance risk?
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5. Do you evaluate third-party technology providers for security and compliance risk?
A
Yes, formal vendor security reviews
B
Occasional reviews
C
Informal trust-based relationships
D
No formal process
Submit