About
What We Do
We provide FTC Safeguards Rule readiness and compliance support for financial institutions required to maintain comprehensive information security programs. Our service helps owners, executives, and security leads navigate the path from “we need to comply with the amended rule” to “we have a documented, tested security program” with clear risk assessments, practical controls, and organized evidence.
We work with mortgage brokers, motor vehicle dealers, finance companies, tax preparers, and other non-banking financial institutions under FTC jurisdiction — the institutions where Safeguards Rule compliance is mandatory and enforcement is active. See our service packages for details on pricing and deliverables.
What We Can Safely Offer
We Do
- Safeguards Rule gap assessments
- Written information security program development
- Risk assessment methodology and execution
- Access control and MFA implementation guidance
- Incident response plan development
- Vendor management program design
- Board reporting frameworks
- Penetration testing program design
We Do Not
- Provide legal advice or representation
- Issue compliance certifications
- Guarantee regulatory outcomes
- Represent organizations before the FTC
- Perform penetration testing
Staffing and Skillset
Our team covers the six core competencies needed to deliver Safeguards Rule readiness effectively:
Security Lead
Safeguards Rule fluency, FTC enforcement expectations, information security program design, and board communication.
Technical Security
Access controls, MFA implementation, encryption standards, network security, and secure development practices.
Program Manager
Risk assessment coordination, vendor oversight, remediation tracking, and status reporting.
Policy Writer
WISP development, incident response plans, security procedures, and board reporting templates.
Risk Assessment Specialist
Threat identification, vulnerability analysis, risk scoring methodologies, and mitigation planning.
Vendor / Third-Party Specialist
Vendor risk assessments, contract security requirements, due diligence procedures, and ongoing monitoring.
Our Approach
First Version
- Readiness Sprint with risk assessment
- WISP and incident response plan
- Technical controls gap register
- Manual + tool-agnostic by design
- Executive summary + engineering remediation plan
Later Maturity
- Automated security monitoring integrations
- Multi-framework security mappings
- Continuous compliance dashboard
- Vendor risk automation
- Board reporting and metrics automation
Launch Readiness Metrics
We hold ourselves to measurable targets:
| Metric | Target |
|---|---|
| Time from kickoff to scoped readiness report | 10–20 business days |
| Core template library coverage | At least 10 templates ready |
| WISP completeness | 100% of rule requirements addressed with documented controls |
| Risk assessment coverage | All customer information systems assessed with documented risks |
| Executive readout deliverability | One board summary + one engineering backlog per engagement |
| Incident response readiness | Written IRP with defined roles, tested annually |
Get in Touch
Ready to start your Safeguards Rule readiness journey? Reach out to discuss your scope, timeline, and goals.
Email Us