FTC Safeguards Compliance for Small Firms

We help CPA firms and insurance agencies build the security program the rule requires.

The FTC Safeguards Rule has required covered businesses to maintain a written information security program since June 2023. Most small CPA firms and insurance agencies are covered. Most don’t have a documented program in place.

We work with small firms in Lady Lake, The Villages, and surrounding communities to build a compliant security program, implement the right controls, and keep the documentation current so you’re ready when a client, carrier, or regulator asks.

What we put in place for your firm

A written information security plan tailored to your firm, meeting the FTC’s requirements for covered businesses
Access controls so only authorized staff can reach sensitive client data
Tested, offsite backups of client records, with documented recovery procedures
Email security against phishing, W-2 fraud, and wire transfer scams
Ongoing monitoring so threats are caught early and your program stays current
Documentation you can present to your cyber insurance carrier at renewal
A designated point of contact who stays accountable for your program month to month

Who this is for

CPA firms and tax preparers

The FTC explicitly lists accountants and tax preparation services as covered businesses. Your clients’ Social Security numbers, tax returns, and financial records require a documented security program.

Insurance agencies and brokerages

Independent agencies hold financial and personal data across large client rosters. The Safeguards Rule applies regardless of firm size or whether you think of yourself as a financial company.

Mortgage brokers and advisors

Investment advisors, mortgage brokers, and real estate settlement providers are all covered. If you handle client financial information, the rule applies to you.

Any small firm that missed the 2023 deadline

Compliance was required by June 9, 2023. If your firm hasn’t put a program in place, you’re already out of compliance. The earlier you address it, the better your position.

Why firms in our area work with us

Plain language, not legal jargon

We translate the rule into practical steps. You’ll know exactly what’s required, what we’ve put in place, and what it means for your day-to-day operations.

Documentation that holds up

A written plan that lives in a drawer and never gets updated doesn’t satisfy the rule. We keep your program current and maintain the records to back it up.

Covers cyber insurance too

Insurance carriers are asking for the same evidence at renewal. A compliant security program satisfies both requirements at once, so you’re not solving the same problem twice.

Flat monthly rate

Compliance isn’t a one-time project. We handle it on an ongoing basis for a predictable monthly cost you can budget for and explain to your board or partners.

Not sure if your firm is covered or where you stand?

We’ll do a free, no-pressure review and tell you honestly what the rule requires for your specific business and what gaps we see. No obligation.

Get a Free Assessment

Serving CPA firms, insurance agencies, and financial service businesses in Lady Lake · The Villages · Leesburg · Wildwood · Summerfield · Belleview