SEC Cybersecurity Mock Audit

Our consulting engagement is designed to prepare you for the inevitable day the SEC comes knocking, driven by our experienced vCISOs who’ve been in the boardroom through real audits.

Get exam-ready.

We review the elements of each SEC Division of Examinations Risk Alert and each piece of regulation, consolidate those requirements, and cross-map them – all so you don’t have to.

Documentation Review

Your mock audit begins with in-depth reviews of your current documentation, helping us get up to speed with what cybersecurity measures you already have in place.

The Players

Before we begin the on-site mock audit, you identify the players on your side of the table. For most clients, this is your CTO/IT Director, COO, CFO, HR, General Counsel, Investor Relations, and internal and/or outsourced IT team.

On-site session

We evaluate the policies, procedures, workflows, and required privacy/opt-out notices to identify areas where your firm may be deficient and help prepare your senior management to respond to an actual audit.


Your resulting report includes recommended corrective actions, mapped to each control, so your firm walks away with a remediation plan and the ability to demonstrate SEC compliance with the required safeguards.

Proactive guidance to increase productivity, reduce risk and
decrease cost.

Easily prioritize your SEC compliance efforts based on the areas most in need of attention.

Save resources.
By going through the mock audit process now, you’ll have time to prepare your firm and develop your artifacts, reducing your effort, cost (and stress level) when you receive the notice of an actual exam.


Get ahead.
Our audit gives you the opportunity to evaluate your firm’s overall cybersecurity strategy against what’s considered a best-in-breed solution today. This enables you to see where you can fortify your cybersecurity posture and where you’re already strong.

Connect with us.

Need a solution? Want to partner with us? Please complete the fields below to connect with a member of our team.

Trending resources.

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Are you in?

Find out whether Agio is right for you. Contact us to design a custom solution for your firm.

The Agio Vision

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