Self-Assessment Guide

Step 1. Risk Evaluation
1.1  Reputational Risk
1.2  Financial Risk
1.3  Data Breach Financial Risk Calculation

Step 2. Governance Checklists
2.1  Representations
2.2  State Requirements 
2.3  Financial Institutions You Represent 
2.4  Client Private Information
2.5  Cyber Insurance Policy

Step 3. Required Cybersecurity Documents
3.1  Incident Response Plan(IRP)
3.2  Written Information Security Plan (WISP)
3.3  Vulnerability Scan Results
3.4  Processes & Procedures

Step 4. Required Cybersecurity Tools

Step 5. Third-Party Risk
5.1 Classification Of Risk
5.2 How Vendors Protect Private Information
5.3 Application Features & Settings
5.3 Vendor Agreements

Step 6. Education
6.1 Employee Education
6.2 Client Education