Client access
Clients expect to reach you and their information when markets move.
FINANCIAL AND WEALTH MANAGEMENT
Ready for the exam, every day.
For an adviser, an outage is a client who can't reach you and a record you'll need to show an examiner later. We build the continuity and evidence that hold up.
THE HOUR
What an hour costs an advisory firm
Exam evidence
Continuity, vendor oversight and security controls have to be shown, not described.Client data
Reg S-P puts weight on how you protect client information and oversee vendors.
WHAT WE PROTECT
Built around how your work gets done.
Continuity planning
A written plan that covers systems, people and client communication.Vendor oversight
Documentation for the vendors that touch client data, including us.Security controls
A baseline mapped to NIST CSF 2.0 and CIS Controls v8.1.AI supervision
Policies and tools that keep AI use supervised and recorded.
WHERE WE START
The Evidence File
We ask for the six artifacts an examiner requests first and tell you which ones you could produce today. Free, 30 minutes.
Ask for itTALK TO A PERSON, NOT A QUEUE
Ric Wallace
CFO and Co-Founder
Talk to someone who knows how your industry makes money, and what an hour down really costs it.
Signet ยท AI for financial and wealth management firms
You have the AI policy. What you probably don't have is the file that proves it, and the examiner, the carrier and the acquirer all ask for it.
Signet, the Circle Square AI division, has a free checklist, a three-minute assessment and a free thirty-minute session for financial and wealth management firms.
Signet for financial and wealth management firmsFind out what an hour costs you.
Book a Downtime LedgerAbout 60 minutes. Your numbers. You keep the result.