Financial advisers hold TFNs, account numbers, investment holdings and estate plans — the richest single target a criminal can find. Some practices also carry AML/CTF Tranche 2 obligations. This is where a breach, or a licensee review, finds the gap.
The two-minute check gives you an instant read. If you want the full picture, our fixed-price Data Security Review looks at each of these in your business and hands you a prioritised plan.
Where client data lives
Are TFNs, account numbers and ID documents ever stored in a staff member's inbox?
Tranche 2 records
If you provide designated services, is that documentation secured for the 7-year retention period?
Authentication
Is multi-factor authentication on for your planning software, email and client portal?
Access control
Does access end the day a staff member or paraplanner leaves?
Ransomware resilience
Is client data backed up somewhere an attack couldn't also reach?
Dual-obligation breach plan
Does your response plan cover both your OAIC and AFSL obligations?
The review is an assessment and a roadmap, done with your cooperation — not a penetration test, not a compliance certification, and not legal or financial advice. We tell you where your gaps are and what to fix first, in plain English. Regulatory references are general information; confirm your specific obligations with your own adviser or licensee.
Your review is handled by a senior specialist — not a call centre, not a hand-off. Email us and we'll set up a 15-minute call.
hello@circuitrisen.com