FTC Safeguards Rule
Safeguards Rule compliance, right-sized
FTC Safeguards Rule compliance for auto dealers, accounting firms, and non-bank financial institutions — qualified individual, risk assessment, and the nine required elements.
FTC Safeguards Rule services
What we deliver
The amended Safeguards Rule reaches far beyond banks — dealerships, CPAs, mortgage brokers, and anyone significantly engaged in financial activities. We implement the nine required elements without enterprise bloat: a designated qualified individual, written risk assessment, access controls, encryption, monitoring, training, vendor oversight, incident response, and board reporting.
Our areas of focus include:
Qualified Individual
Fractional fulfillment of the designated 'qualified individual' role the Rule requires — with board reporting included.
Written Risk Assessment
The documented risk assessment that drives your safeguards program — refreshed on a defined cadence.
Technical Safeguards
MFA, encryption at rest and in transit, access reviews, and secure disposal — implemented, not just documented.
Monitoring & Testing
Continuous monitoring or annual penetration testing plus vulnerability assessments — the Rule requires one path; we help you pick and run it.
Vendor Oversight
Service provider selection, contractual safeguards, and periodic assessment workflows.
Incident Response Plan
The written IR plan the Rule mandates, including the FTC's 30-day breach notification requirement.
Testimonials
What clients say
“Principle Security was instrumental in guiding us through our recent infrastructure and cybersecurity initiatives. Their partnership was reliable, professional, and results‑driven, which is why we continue to engage them whenever new opportunities arise.”
“Their team helped us prioritize risk without overwhelming us with jargon or checklists. Practical guidance that actually moved the needle.”
“They stepped in during a critical project and brought stability fast—tight execution, clear communication, and zero babysitting required.”
“With their managed services handling patching, backups, and detection, our internal team finally has room to focus. Reliable, low-noise, and effective.”
“We didn't need a full-time CISO—we needed experience and flexibility. Their fractional leadership model gave us exactly that.”
“Our compliance program was scattered. They brought structure, clarity, and got us aligned with FFIEC and NIST—finally audit-ready and confident.”
“Principle Security helped us redesign our entire security stack without disrupting operations. They understood our infrastructure and delivered clean, scalable solutions.”
Drive your business forward.
We focus on execution, not theory — building security and infrastructure that actually supports your business.
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