Qualified Security Ownership
Identify who is responsible for the information security program, what authority they have, and how leadership receives risk updates.
GLBA Safeguards Readiness
FTC Safeguards Rule Readiness for Accounting Firms
The FTC Safeguards Rule applies to covered financial institutions, including many tax preparation and accounting practices. OC Security Audit helps firms translate Safeguards Rule expectations into practical security controls, documentation, and evidence.
CISO-Led25+ Years ExperienceIRS WISPFTC SafeguardsMicrosoft 365 Security
Rule Alignment
What The FTC Safeguards Rule Means For Accounting Firms
The Safeguards Rule focuses on a written information security program appropriate to the size, complexity, activities, and sensitivity of customer information. For accounting firms, this typically touches identity access, email security, encrypted storage, client portals, endpoint protection, vendor oversight, incident response, and employee training.
A useful readiness review does not stop at policy wording. It checks whether the firm can show how safeguards are implemented, monitored, tested, and updated as systems, tax software, cloud services, and vendors change.
Required Program Elements
Controls To Validate First
Written Risk Assessment
Document foreseeable risks to taxpayer and customer information across Microsoft 365, endpoints, portals, backups, vendors, remote access, and physical files.
MFA And Access Controls
Enforce MFA, least privilege, admin-role review, password protections, conditional access, and rapid offboarding for staff and seasonal workers.
Encryption And Data Handling
Review encryption for laptops, backups, cloud storage, portals, data transfers, and archived client records.
Monitoring And Testing
Validate logs, alerting, vulnerability review, phishing resilience, endpoint health, backup recovery, and periodic control testing.
Vendor Oversight
Review tax software, payroll, bookkeeping, client portal, cloud, outsourced IT, and document management providers that touch sensitive information.
Evidence
Documentation Your Firm Should Be Able To Produce
| Evidence Area | What To Check | Why It Matters |
|---|---|---|
| WISP | Current written plan, owner, update history, risk assessment references | Shows the program is maintained and connected to actual firm systems. |
| Access Control | MFA policy, admin list, user lifecycle, remote access controls | Reduces unauthorized access to taxpayer and financial data. |
| Encryption | Device encryption, backup encryption, file transfer protections | Protects sensitive data if devices, drives, or files are lost or intercepted. |
| Training | Security awareness records, phishing guidance, seasonal staff onboarding | Helps staff recognize client impersonation, refund fraud, and attachment threats. |
| Vendors | Vendor inventory, security review, contracts, access scope | Documents oversight of providers that store or process customer information. |
| Incident Response | Written plan, contacts, tabletop notes, insurance/legal escalation | Improves response speed during mailbox compromise, ransomware, or data exposure. |
Official References
Primary Guidance To Use
Ali Hassani, CISO
Experienced Cybersecurity Guidance For Accounting Firms
Created by Ali Hassani, CISO, with 25+ years of IT, cybersecurity, compliance, Microsoft infrastructure, network security, firewall, cloud, and IT operations experience. Ali's background includes CISSP, CCISO, CCNP, CCNA, MCSE, MCSA Security, MCITP, MCP, and MCTS credentials.
For accounting firms, the focus is practical: protect taxpayer data, reduce email and ransomware exposure, document evidence, and help leadership understand which security fixes matter first.
From Findings To Implementation
Turn Security Findings Into Practical IT Work
OC Security Audit can identify the accounting-firm security gaps, evidence needs, and compliance risks. When the next step is implementation, IT Perfection can help with managed IT, Microsoft 365 support, endpoint operations, backup and disaster recovery, server work, and network infrastructure support for the same business environment.
CPA And Tax Firm Security Pathways
Continue The Accounting Firm Security Review
Accounting-firm security is strongest when the professional audit, IRS WISP documentation, FTC Safeguards expectations, Microsoft 365 controls, ransomware readiness, incident response, firewall, vulnerability, and backup evidence are reviewed together. These connected pages help your firm move from broad risk visibility into the exact controls that need attention.
CPA / Tax Firm Security
Cybersecurity Audit for CPA Firms & Tax Preparers
Use this service page when the firm needs a professional review of taxpayer-data risks, Microsoft 365, backups, ransomware, WISP evidence, and remediation priorities.
CPA / Tax Firm Security
IRS WISP Compliance Consulting
Use this compliance page when the firm needs help building, reviewing, or improving a Written Information Security Plan and the technical evidence behind it.
CPA / Tax Firm Security
Accounting Firm Cybersecurity Hub
Start with the broad CPA, accounting, and tax-preparer cybersecurity roadmap before drilling into WISP, Microsoft 365, ransomware, and response planning.
CPA / Tax Firm Security
Microsoft 365 Security Audit for Accounting Firms
Review identity, email, SharePoint, OneDrive, Teams, admin roles, logging, and device access for firms handling tax and client files.
CPA / Tax Firm Security
CPA Firm Cybersecurity Checklist
Organize the control review across WISP, MFA, email, endpoints, backups, firewall, vendors, tax software, and audit evidence.
CPA / Tax Firm Security
Tax Season Ransomware Readiness
Validate backup recovery, endpoint protection, remote access, Microsoft 365 security, continuity, and tax-season response readiness.
CPA / Tax Firm Security
Accounting Firm Incident Response Plan
Prepare for ransomware, mailbox compromise, lost devices, taxpayer data exposure, cyber insurance coordination, and client communication decisions.
FAQ
Questions Accounting Firms Ask
Are tax preparers covered by the FTC Safeguards Rule?
FTC guidance identifies tax preparation firms as an example of covered financial institutions. Specific applicability should be reviewed against the firm's services, data, and legal obligations.
Is a template WISP enough?
A template can help start documentation, but the firm still needs a risk assessment, implemented safeguards, vendor oversight, monitoring, training, incident response, and evidence tied to its actual systems.
What should be reviewed first?
Start with Microsoft 365 and email security, MFA, endpoint encryption, backup recovery, remote access, client portal controls, vendor access, and incident response documentation.
Can OC Security Audit help prepare evidence?
Yes. OC Security Audit can assess technical controls, identify evidence gaps, and create a prioritized readiness roadmap for remediation and validation.
Next Step
Review The Controls Before A Client, Insurer, Or Incident Forces The Issue
OC Security Audit can help your accounting firm understand the most important gaps, document what needs attention, and plan remediation in a practical order.