Description
This Sample WSP/CoE – Information Security Plan is a sample compliance manual section which is an example of an information security plan. It includes specific examples of physical safeguards and electronic safeguards (e.g., access control, authentication, encryption, device management, phishing controls, system security, Wi-Fi and network security, secure disposal). Additionally, there is a detailed set of criteria and procedures for an annual assessment of cybersecurity risks and review of the effectiveness of the information security program.
Please note that this sample compliance manual does not include our Incident Response Program, which can be purchased separately.
Initially posted in December 2025. Included with Bronze, Silver, Gold, Platinum, and Titanium Packages through our Knowledge Base.
Delivery
If this product involves the purchase of a WSP/CoE update section on a la cart basis (not part of an annual compliance program engagement), the purchaser will have three ways to access this sample document: 1) Following payment, the purchaser will be redirected to a thank you page with a button to download the sample document; 2) The purchaser will receive an invoice email with a link to download the sample document; 3) If the purchaser has an account or elects to create one at the time of checkout, this sample document can be accessed from the “Downloads” section of purchaser’s My Account page. The purchaser will have 90 days to download sample document, which is limited to 3 downloads during this period.
If the individual intending to make a purchase is affiliated with a firm which has an active engagement with RIA Compliance Consultants for an annual compliance program (“ACP”), WSP/CoE update sectiond are available as part of ACP depending upon the package and do not need to be purchased separately. To access your WSP/CoE section updates, please log into our Knowledge Base at https://www.ria-compliance-consultants.com/my-account/ to download such section update. For detailed instructions on how to access the KnowledgeBase, please refer to the following webpage: KnowledgeBase Instructions
If you experience any issues when making the purchase, please email [email protected] .
ACP packages
To the extent that your investment adviser firm currently has an active Annual Compliance Program (“ACP”) engagement with RIA Compliance Consultants, Inc., this sample document may be available as part of that engagement depending upon your firm’s ACP package (e.g., Bronze, Silver, Gold, Platinum and Titanium). Please refer to the “Description” tab within the product to determine whether the sample document is included as part of your firm’s ACP package. If included and your firm (via the individual making payments in our system) has designated you as a team member in our Knowledge Base, please log into our Knowledge Base to download the sample document. (For detailed instructions on how to access the Knowledge Base, please refer to the following webpage: Knowledge Base Instructions.) If not included in your ACP package, you can make an a la carte purchase of the sample document through this product in our online store.
Not Cybersecurity Expert
RIA Compliance Consultants, Inc. is not an expert in information security. Our employees are not trained or certified in information security. We do not provide information security risk assessments or audits of information security plans.
RIA Compliance Consultants, Inc. offers this sample document and any included practices and techniques for the purchaser to start a discussion with his or her IT & information security staff or consultants. This sample document and any included practices are general in nature and may not be applicable to particular investment adviser firm’s business model or information systems. Moreover, these practices may have become dated or might be considered ineffective by the investment adviser’s IT and information security staff or consultants. As a result, this sample document and these practices are provided to you on “as is” basis with no warranty or guaranty.
This sample document and these practices have not been customized to your investment adviser’s business model, information systems, the specific investment advisory rules of your investment adviser’s securities regulator or your investment adviser’s written supervisory procedures and code of ethics. This sample form and these practices may not be applicable or appropriate for your investment adviser. Likewise, there may be risks associated with use of this sample form and these practices. You should not consider this sample form and these practices as an exhaustive, comprehensive or definitive list of the items necessary to meet your investment adviser’s obligations to protect confidential client information under the applicable investment adviser laws and rules.
Since this sample document may not reflect the specific investment advisory requirements of your securities regulator, please check with the securities regulator(s) with jurisdiction over your investment adviser before using this sample document.
Since technology and the strategies/tactics of fraudsters are likely to evolve and change, it’s likely that these practices may become less effective or fail to address certain risks over time. As a result, RIA Compliance Consultants, Inc. recommends that the investment adviser firm periodically review the latest developments in cybersecurity and identity theft fraud and update its information security plan and practices.
This sample document and any included practices are not a substitute for retaining an information security consultant to advise and assist you regarding your investment adviser’s information security plan and practices. (RIA Compliance Consultant, Inc. is not an information security consultant and does not offer risk assessments of information security plans and practices.) Additionally, unless otherwise agreed to in writing, RIA Compliance Consultants, Inc. is not responsible for customizing this sample document preparing purchaser’s compliance manual or code of ethics, or notifying purchaser of changes to policies, procedures and other practices designed to prevent cybersecurity breaches.
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