Data Privacy & Client Protection Controls
Client PII and account data move through more systems and vendors than most firms document. We map how data flows, who can access it, how long it is retained, and whether your controls meet the fiduciary and regulatory obligations you owe your clients.
What we examine
- PII and account data flow mapping across internal systems and vendors
- Retention schedules, archival practices, and secure disposal procedures
- Encryption, tokenization, and access logging across sensitive data stores
- Vendor data-sharing agreements and subprocessors handling client information
- Role-based access and least-privilege alignment with operational needs
- Breach-notification readiness, escalation paths, and tabletop preparedness
- Gap analysis against fiduciary duty and applicable regulatory expectations
What you receive
- Written data-flow and controls assessment with risk ratings
- Prioritized remediation list for privacy and client protection gaps
- Executive summary suitable for boards, compliance committees, and examiners
- Follow-up review session to align remediation with your operational calendar
Who this is for
RIAs, trust companies, multi-family offices, and wealth platforms evaluating or operating technology at fiduciary standard.
Request a consultation
Independent, confidential review — on your side of the table.
Request a consultation