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The Incident Response Plan Template for RIAs
A customizable, SEC Reg S-P compliant incident response plan your firm can put in place this week. No drafting from scratch, no guesswork.
Meet SEC Reg S-P incident response requirements with confidence
Fully customizable Word document, ready in under an hour
Covers detection, containment, remediation, and recovery
Includes incident response team roster and contact template
Built-in testing schedule and tabletop exercise tracking
Designed for RIAs, not adapted from generic IT frameworks
SEC Reg S-P Compliant
Built for RIAs
Customizable Word Doc
Trusted by 50+ Firms
Trusted by financial advisors across the Southeast · Microsoft Partner · Serving 50+ Financial Firms
What's Inside
Everything You Need to Respond to a Breach the Right Way
Incident Response Team Roster
A pre-built contact table for your coordinator, IT lead, CCO, legal counsel, cyber insurance carrier, and forensics provider. Ready to fill in and go.
Detection and Assessment Procedures
Step-by-step guidance on what to record, what to preserve, and who to notify the moment an incident is discovered.
Containment and Remediation Playbook
Clear procedures for isolating affected systems, eliminating root causes, and verifying remediation before returning to production.
Customer Notification Workflow
The exact process for meeting SEC Reg S-P customer notification requirements after a breach, including timing and documentation.
Post-Incident Review Template
A structured 30-day review process covering timeline, root cause, lessons learned, and recommended plan updates.
Annual Testing Schedule
A tabletop exercise tracker so you can document annual testing, key findings, and plan improvements in one place.
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