CPAs need to comply with...
FTC Safeguards Rule, IRS Publication 4557, Gramm-Leach-Bliley Act, IRS Publication 5708

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FTC COMPLIANCE FRAMEWORK

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FTC Safeguards Rule

What is it, and why does it matter for accounting firms?

The FTC Safeguards Rule may sound intimidating, but it’s vital to ensuring your firm remains compliant and trusted. By securing your client's confidential information, you’re not just following regulations but providing peace of mind.

 

 

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Why Should You Care About the FTC Safeguards Rule?

  1. Mandatory Compliance. The rule mandates that financial institutions, including CPAs and accountants, establish comprehensive security programs.
  2. Stay ahead of threats. Protect your business from potential threats and unexpected breaches.
  3. Protect Client Information. Prevent unauthorized access and ensure the confidentiality of sensitive data.

Take our 10-question quiz to see where you stand.

 

Simple steps to get started

Implementing FTC Safeguards Rule might seem daunting, but we're here to break it down for you.

  • Mandatory Security Programs

Financial institutions, including CPAs and Accountants, must establish comprehensive security programs to protect customer information. 

Source: Federal Trade Commission - The Safeguards Rule 

  • Risk Assessment Requirements

Companies must carry out regular risk assessments to identify potential security threats and vulnerabilities. 

 Source: Federal Trade Commission - Information and Security Services

  • Employee Training and Management

Regular training programs must be conducted to ensure staff are aware of security risks and best practices. 

Source: Federal Trade Commission - Staff Security Awareness

  • Information Access Control

Implementing measures to control and restrict access to sensitive customer information is essential. 

Source: Federal Trade Commission - Privacy and Security 

  • Incident Response and Recovery

Companies must have a written plan in place to respond to and recover from security incidents effectively. 

Source: Federal Trade Commission - Data Breach Response

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All this and more explained in the FTC Safeguards Rule Guide

FTC Safeguards Rule Guide - Download

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Next steps:
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What they say about PK Tech

Was referred to this company by a friend and had an amazing experience. Super knowledgeable and friendly staff! Highly recommend this team for all your IT needs
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Sonia Navarro
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PK Tech is awesome! Always quick with a fix and/or communicating resolution time for the fix. All the techs are extremely knowledgeable, always professional and friendly. Andrea, Brendan and Steven, thank you for getting me scheduled so quickly and getting my system back up and running properly, excellent job guys!!!
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Connie Lucero
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Jordan and the PK Tech team were great to work with! They know their stuff, and came with some great recommendations they helped us implement. It was a huge help and relief on our side!
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Mike Metz
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Jordan and Charles of PK Tech took the time to analyze whether their firm would offer cost/service benefits the were materially better than our current provider. Their thorough, honest assessment did not result in a business relationship with our company. But, it's this kind of professionalism and knowledge of our industry rather than the must-close-a-sale-now mentality that will bring us to PK Tech in the future.
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Juncture Wealth
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PK Tech has been very helpful with any issues, questions, and concerns that we have brought up. Thank you guys!
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