What You Need to Know (& Do Next)

Your responsibility to clients doesn’t stop at investment strategy—it includes protecting their data.

For financial advisors, law firms, and professional services across New Hampshire and the greater New England region, cybersecurity is no longer just an IT issue. It’s a regulatory, reputational, and operational concern. Regulators are watching, threats are increasing, and clients expect robust data protection.

The Compliance Landscape Is Evolving

• SEC Rule 206(4)-7 requires ongoing cybersecurity risk assessments and oversight of your IT environment.

• Regulation S-P mandates safeguarding client information and having an incident response plan.

• State-level mandates are aligning with the NASAA model rules, putting more pressure on RIAs and other professional firms.

If you aren’t actively reviewing your policies, conducting employee training, and documenting your controls, you’re exposed—legally and operationally.

The Threats Are Real and Increasing

• Ransomware, phishing, and business email compromise continue to rise in both volume and sophistication.

• Remote work and hybrid operations have expanded your attack surface.

• Vendors and third-party platforms now represent a critical vector for risk.

Firms that lack layered defenses, documented processes, and trained staff are most vulnerable—and most likely to suffer regulatory consequences or reputational damage.

What Your Firm Should Be Doing Now

1. Review and Enforce Cybersecurity Policies
Ensure your Written Information Security Plan (WISP), onboarding/offboarding protocols, and access control policies are active, reviewed regularly, and documented.

2. Provide Consistent Employee Training
Simulated phishing, annual policy reviews, and real-world examples ensure that your employees are a strong line of defense—not a weak link.

3. Limit and Monitor Access to Sensitive Data
Identify your most sensitive data—client records, financial reports, confidential documents—and implement access restrictions and logging.

4. Configure Technology Correctly
Tools like endpoint detection, MFA, cloud security, and SIEM only work if deployed and monitored properly.

5. Keep Records
Document training, access logs, breach response exercises, and vendor reviews to demonstrate due diligence.

6. Bridge IT and Compliance
Eliminate silos—ensure compliance, IT, and executive leadership are aligned and communicating regularly.

7. Build and Test an Incident Response Plan
You need a repeatable, documented process to evaluate, contain, and report cybersecurity events—especially in the eyes of regulators like the SEC or FINRA.

Cheshire Technologies: Cybersecurity for the Modern Firm

We understand the pressures facing professional service firms in New England. Our solutions are tailored to help you meet both security and compliance expectations without disrupting your operations.

Our core services include:

• Managed cybersecurity aligned with SEC/FINRA and state regulations

• Secure endpoint and remote access controls

• Identity and access management, including MFA and Zero Trust architecture

• Employee security awareness training and testing

• Virtual CISO services for firms that need strategic guidance without hiring full-time

• Backup and disaster recovery aligned with compliance standards

• WISP development and policy enforcement support

Why It Matters

Cybersecurity isn’t a box to check—it’s a foundation for growth, trust, and compliance. Firms that proactively invest in security and IT maturity protect not just their clients, but also their business, brand, and regulatory standing.

The most successful firms are integrating IT and compliance, training their staff regularly, and continuously reviewing their security posture. Cheshire Technologies is here to help you do the same—affordably, locally, and effectively.