Asset Management

Ensure Your Regulatory Compliance

Asset management firms must meet a growing array of governance, risk and cybersecurity regulatory requirements from the SEC, FINRA and others. Your clients also expect and depend on your ability to continue delivering your services securely, regardless of an interruption. Preparis’ Audit Ready Package helps you become prepared for any type of incidentand be confident that you will meet the compliance criteria for your next OCIE audit.


Always Be Audit-Ready

  • Meet SEC and FINRA guidelines for business continuity planning, governance and cybersecurity
  • Keep up to date on the latest regulations and guidance
  • Assure the compliance of your key business and technology vendors

Create, Monitor, and Maintain Emergency Communications

  • Build actionable incident management and business continuity plans
  • Monitor the health of your BC program on an ongoing basis
  • Keep your program updated to reflect your firm’s business and regulatory needs

Manage Your Program from a Single Platform

  • Consolidate your planning, communication, training, and cybersecurity activities
  • Save on cost and time by using one provider
  • Improve the effectiveness and scale of your BC and IT teams

Protect Your Firm’s Reputation

  • Maintain critical business operations with no disruption
  • Avoid the financial and reputational costs of cybersecurity breaches
  • Keep communications with your clients open throughout any type of interruption

Preparis Can Help Your Firm Become Audit Ready

“With Preparis we are preparing for a wide array of threats with live policies and procedures, training, testing and good documentation, all of it right-sized for our organization.” 

Senior VP & COO, Klingenstein, Fields & CO.

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