One Misstep Could Cost Your Firm Six Figures
SEC enforcement is targeting RIAs like never before. We protect you from costly penalties with proven technical leadership.
As an independent RIA, you work hard to serve your clients and protect your reputation. But today’s SEC enforcement environment is a minefield—one overlooked IT gap, inaccurate claim, or missed deadline could mean massive penalties and public embarrassment.We make sure that doesn’t happen to you.
Why SEC Penalties Are on the Rise
Unpacking the SEC's heightened enforcement, we see they are now:
Leveraging Existing Regulations
Using anti-fraud provisions and the Marketing Rule to go after tech-related missteps—not just breaches.
Strengthened Safeguards Rule
Enforcing the new 30-day breach notification rule under Regulation S-P.
Documenting one thing, Doing Another
Penalizing firms for failing to follow their own tech policies, even without a breach.
Without dedicated technical leadership, firms struggle to navigate this complex regulatory terrain, putting them at significant risk for enforcement actions that could have been avoided with proper guidance.
Real Penalties. Real Firms. Real Lessons.
AI “Washing” Costs $400K+
Two advisors overstated their AI capabilities—resulting in fines of $225k and $175k.
Lesson for RIAs: Every marketing claim about technology must be verified and documented.
These costly "AI Washing" penalties could have been avoided.Our fractional CTO/CSO safeguards your firm by ensuring accurate, documented tech claims.
Governance Failure Costs $4M
OEP Capital Advisors didn’t enforce its own policies —They received a fine of $4M
The Critical Lesson
Written policies are useless without technical enforcement.
CTSO services bridge governance gaps with comprehensive technical and procedural controls.
Key Insight: The OEP case demonstrates that even without a data breach, firms can face multi-million dollar penalties for failing to properly govern their technology infrastructure.
The Fractional CTSO Solution
We give you enterprise-grade security and Technology leadership—without the cost of a full-time hire
Expert SEC Tech Compliance
Pass exams without surprise findings
Verified Marketing Claims
No accidental misrepresentation
Enforced Policies
Real-world controls, not just written documents
Rapid Incident Response
Meet the 30-day breach deadline without scrambling
What This Means for You
Lower risk of SEC penalties
Peace of mind for you, your leadership, and your board
Freedom to focus on growth instead of worrying about tech compliance
Protect Your Firm Today
Don’t wait for the SEC to make you their next example.
We’ll show you exactly where your risk is—and how to close the gaps—before it costs you.
We’ll show you exactly where your risk is—and how to close the gaps—before it costs you.
What You Gain:
- Expert guidance on SEC technology requirements & Industry best practices
- Documented policies that satisfy regulatory expectations
- Implementation of effective controls, not just written procedures
- Rapid response capabilities for potential incidents
- Peace of mind for senior leadership and board members