FTC Safeguards Rule Compliance for Investment Advisors
Investment advisors handle sensitive client financial and portfolio data and must maintain safeguards that protect confidentiality and integrity.
Who This Applies To
- Registered investment advisors
- Wealth management firms
- Financial advisory practices
Written Information Security Program (WISP)
An advisor WISP documents controls over client portals, advisor devices, email security, and third-party custodians.