Industries • Financial Services
FTC Safeguards & Cybersecurity for Tax Professionals
If you operate a tax firm, the FTC Safeguards Rule isn’t optional. Your firm is required to implement and document a written information security program. We design, implement, and maintain those programs so you can operate with confidence.
Built specifically for IRS‑regulated firms.
You’re responsible for more than just tax returns
Tax firms are custodians of highly sensitive client data—SSNs, financial records, banking information, and identity documentation. Under the FTC Safeguards Rule, you’re required to protect that data through a documented and maintained security program.
Required documentation
- Written Information Security Plan (WISP)
- Ongoing risk assessments
- Vendor due diligence & oversight
- Incident response planning
Required controls
- Multi‑factor authentication (MFA) for all users
- Secure handling of client PII
- Documented security awareness training
- Regular review & updates to safeguards
WISP development that reflects how your firm actually operates
A WISP shouldn’t be a generic template. It should reflect how your firm stores, transmits, and protects client data—including remote staff, tax software, document portals, and third‑party vendors.
We build and maintain WISPs that are:
- Aligned with your workflows
- Supported by implemented technical controls
- Updated as your firm evolves
- Structured to withstand regulatory scrutiny
Your documentation and your implementation should match. We make sure they do.
Compliance gaps create real exposure
Most enforcement actions don’t start with a catastrophic breach. They start with missing documentation, inconsistent controls, or safeguards that were never formally implemented.
Regulatory risk
FTC scrutiny, enforcement actions, and required remediation programs.
Financial impact
Liability exposure, operational disruption, and potential insurance issues when controls aren’t documented.
Client trust
Data incidents erode confidence quickly—especially when safeguards were avoidable.
A Structured, Practical Approach.
We build a program—not just install a tool. Our work is designed to be practical for solo firms and small teams, and mature enough for organizations with compliance oversight.
Assess
We evaluate safeguards, documentation, MFA, email security, and vendor controls.
Implement
We formalize the controls required under the Safeguards Rule—technical and procedural.
Maintain
We support annual risk reviews, documentation updates, staff training, and ongoing improvement.