Secure Wealth IT

The WISP template built for RIAs, not tax preparers.

Most free WISP templates follow IRS guidance for tax professionals. This one is organized around amended Regulation S-P, Rule 206(4)-7 and Rule 204-2, with guidance notes, a worked example, and the annual testing record most templates leave out.

Start from a structure that follows the SEC rule your firm is actually examined under

See where every Reg S-P requirement goes in your program with the regulatory map

Cover the parts tax-preparer templates miss: 30-day customer notice, 72-hour vendor notice, disposal, and records

Document your annual review and testing so you can show the program is in use

Use the fictional worked example to see how much detail is enough

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Written by Harrison Baron at Secure Wealth IT, a Charlotte, NC IT and cybersecurity firm that works with RIAs, financial advisors and broker-dealers. Every section is mapped to the rule text it addresses.

What's Inside

Everything in the RIA WISP Template

Fillable WISP template in 16 sections

Regulatory map to 17 CFR 248.30, Rules 206(4)-7 and 204-2

Guidance notes for each section

Customer notice content checklist taken from the rule text

Data map and technical safeguards tables

Annual review and testing record

Worked example for a fictional nine-person firm

Want someone to look at your current WISP?

You can book a free 20-minute review at https://securewealthit.com/harrison. No obligation.

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