Why advisors are getting asked
Custodians, enterprise clients, and partners increasingly require a SOC 2 report before they'll integrate or share data. For many RIAs it's becoming a condition of doing business.
What the audit looks at
SOC 2 evaluates controls across security, availability, confidentiality, processing integrity, and privacy. In practice that means access controls, MFA, monitoring, change management, vendor management, and incident response — with evidence.
Preparing efficiently
Start with a readiness assessment to find gaps, remediate, then run the observation period. The firms that struggle are the ones with no evidence trail. We help financial services firms build that trail before the auditor arrives.