Security Compliance for Regulated Small Firms

How the work is ordered

1. 1 · Remediate. Auditors compare your written policy with what they find, and any gap becomes the finding. So we close the known gaps first: public file links, too many admins, sign-in protection that is on but not enforced, unsigned email, unapproved apps with broad access.
2. 2 · Document. A risk assessment, an information security policy, an AI usage policy, an incident response plan and a business continuity plan, written to match how you actually work, not a template.
3. 3 · Test. Vulnerability scans, a realistic penetration test, AI-driven attack testing and a phishing simulation, with a formal report, the fixes made and a retest.
4. 4 · Maintain. Security awareness lessons, monthly phishing tests, quarterly scans and risk reports, a yearly tabletop exercise and a yearly policy refresh.

What a program includes

Immediate fixes

• A full list of files shared "anyone with the link," closed on your approval.
• Admin accounts cut to the few who need them, with billing given its own limited role.
• 2-step sign-in enforced on every account, and DKIM signing turned on for your email.
• Outside sharing limited to approved partners, with expiry on shared links.
• Unapproved AI note-takers and apps with broad access removed. You keep the ones you approve.
• Every laptop and staff account confirmed in monitoring, endpoint protection and security awareness.

Framework and policies

• A risk strategy and risk tolerance statement for your owners or directors to approve, and a named person accountable for security.
• An asset inventory, data classification and a risk register.
• An Information Security Policy, an AI Usage Policy, an Incident Response Plan, a Business Continuity and Disaster Recovery Plan, and a data protection and records retention policy.
• A briefing for your owners or directors, since regulators expect leadership to understand the risk.

Testing

• A realistic penetration test and vulnerability scans of laptops, phones and Wi-Fi.
• A review of your Microsoft 365 or Google Workspace settings against your new policy, and of your outside attack surface.
• AI-driven attack testing and a phishing simulation across your staff.

Ongoing program

• Security awareness for all staff and leadership, with new hires enrolled on day one, and monthly phishing tests.
• Daily checks for public links on sensitive folders, quarterly vulnerability scans and a quarterly risk report.
• A yearly incident and recovery exercise, a yearly self-assessment against your regulator's rules, and a policy refresh.
• A vendor register kept current and ready for your regulator on request.

Regulations we build to

• CIMA Cybersecurity Rule and Guidance for Cayman Islands regulated entities.
• FTC Safeguards Rule for tax preparers, mortgage brokers, consumer lenders and other non-bank financial firms.
• HIPAA Security Rule for dental, medical and other healthcare practices.
• Cyber insurance questionnaires, which now ask many of the same questions.
• Client confidentiality duties for law firms, including AI note-takers and privilege.

What you have at the end

• A framework and policies approved by your owners or directors.
• A formal penetration test report, with the fixes made and retested.
• A vendor register covering every outside provider that touches your data, including us.
• A table that maps each of your regulator's requirements to the evidence that meets it.
• A program that stays current: tested, refreshed and reported on every year.

Parts you can start with

• Penetration testing: find what an attacker would find, with a report your auditor or insurer will accept.
• AI attack testing: prompt injection, consent phishing and AI-assisted impersonation, tested against your people and your AI tools.
• Cybersecurity policies: the written policy set regulators and insurers ask for, matched to how you work.
• Vendor security review: proof that every outside provider touching your data is held to the same standard.

What we need from you to start

1. The name of the person accountable for security at your firm. Most regulators expect one.
2. Which entities and licences are in scope.
3. A staff list, with the laptop and phone each person uses for work.
4. The apps and outside providers you use: AI and note-taking tools, data rooms, accounting, messaging.
5. Any existing policies, earlier assessments or regulator findings.
6. A signed testing authorization that sets the scope, dates and contacts before any testing starts.

Who does the work

Christian Ririe leads every compliance engagement personally. He spent 15 years at the World Bank, where he worked with its Internal Audit department on the yearly audits, testing servers and systems for vulnerabilities. We test to the public NIST SP 800-115 guide and OWASP testing methods.

We use AI to draft, scan and test, and every deliverable is reviewed, tailored and owned by TechFort. That is how a small firm gets a complete program at a fraction of what it usually costs.

Straight talk on independence

If we run your IT, we are testing our own work. For many small firms that is acceptable, and the rule allows it. When an auditor, client or regulator asks for a separate independent firm, we tell you, scope it, collect quotes and coordinate it, and you contract with that firm directly so its result is truly independent of us.