Terms and privacy

What you buy

Starting written physical security and cybersecurity policies and procedures for your state-registered investment advisory firm, with a crosswalk to the FTC Safeguards Rule (16 CFR Part 314), a risk assessment, incident response plan, FTC notice steps, a client privacy policy draft and delivery log, an annual review record, a Qualified Individual annual report template, a vendor list, training sign-off, data map and gap list, generated from your answers. Texas-registered firms also get a Texas page. It is delivered on screen and as a Word file, for use by your own firm. Price: $249, one time.

What it is not

It is not legal advice, not an audit or assessment of your systems, not a compliance review, not penetration testing and not monitoring. Stratum Tech Group is an IT company, not a law firm. The program does not by itself satisfy your state's rule, the FTC Safeguards Rule or any other law; that depends on actually carrying out what it describes. You are responsible for reviewing it, correcting it, having your compliance counsel review the privacy policy, adopting it and following it. It is not written for Regulation S-P, which covers SEC-registered firms. State rule text for Virginia, South Carolina, Kentucky, Michigan and Texas, and the eCFR text of 16 CFR Part 314, were read on November 9, 2026. Rules change, and other states' versions differ, so check the current text.

Refunds

If the program doesn't fit your firm, email mohamad@stratumtechgroup.com within 14 days of purchase for a full refund.

Privacy

We store your answers to build and re-display your program. If you do not complete payment, your answers are deleted automatically after 30 days. After you pay, we keep your answers and order record so your program link keeps working, until you ask us to delete them. We never ask for client data and never sell your information. Payments are processed by Stripe; we never see your card number. The site runs on Cloudflare and your program email is sent through our email provider, Resend. Ask us to delete your answers at any time.

Liability

To the extent the law allows, our total liability for the program is limited to the price you paid.

Contact

Stratum Tech Group, 21311 Park Run Drive, Katy, TX 77450 · mohamad@stratumtechgroup.com · (832) 353-6562