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SOC 2 & Client Data Protection

Accounting Firms

Specialized cybersecurity services for CPA firms, accounting practices, and tax professionals. Protect client financial data, achieve SOC 2 compliance, and build trust with comprehensive security programs.

Compliance Requirements We Address

Expert support for accounting-specific regulations and standards

SOC 2 Type I & II
FTC Safeguards Rule
GLBA Compliance
IRS Publication 4557
State Data Breach Laws
Professional Standards

Security Challenges Facing Accounting Firms

Industry-specific threats and compliance requirements we help you address

Client Financial Data Security

Protect sensitive tax returns, financial statements, bank account information, and other confidential client data from cyber threats and unauthorized access.

Tax Season Readiness

Ensure your systems and security controls can handle increased workload and cyber threats during peak tax season without compromising security.

Client Trust & Reputation

Maintain client confidence with robust security practices that demonstrate your commitment to protecting their most sensitive financial information.

FTC Safeguards Compliance

Meet new FTC Safeguards Rule requirements for non-banking financial institutions, including written information security plans and risk assessments.

How Guarded Protects Accounting Firms

Comprehensive security solutions tailored to your practice and client needs

SOC 2 Compliance

Achieve and maintain SOC 2 certification to demonstrate your commitment to client data security and meet service organization requirements.

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vCISO Services

Part-time CISO expertise to build and maintain your cybersecurity program, ensuring compliance and protecting client data year-round.

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Risk Assessment

Comprehensive NIST-based risk analysis identifying vulnerabilities in your accounting systems, client portals, and data storage solutions.

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Penetration Testing

Ethical hacking to test your defenses and identify security gaps before malicious actors exploit them during tax season.

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Security Awareness Training

Train your accounting staff to recognize phishing, social engineering, and cyber threats targeting financial data and tax information.

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Incident Response Planning

Develop response plans for data breaches and cyber incidents to minimize client impact and meet notification requirements.

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Our Approach for Accounting Firms

We understand the unique challenges facing CPAs and accounting firms: seasonal workload spikes, sensitive client financial data, increasing regulatory requirements, and sophisticated threats targeting tax professionals. Our approach delivers practical security that works within the realities of accounting practice management.

Tax Season Threat Preparedness

Tax season brings unprecedented cyber threats targeting accounting firms: W-2 phishing scams, tax preparer identity theft, ransomware attacks timed to maximize disruption, and business email compromise targeting client refunds. We prepare firms before tax season with security assessments identifying vulnerabilities, enhanced email filtering to block tax-themed phishing, employee training on seasonal threats, and backup verification ensuring data can be recovered if systems are compromised.

During peak season, we provide expedited incident response if security events occur—because a ransomware attack in February can't wait until April 16th for remediation. Your clients depend on timely filing, and we ensure security incidents don't derail your busiest season.

SOC 2 Compliance Without Disruption

Enterprise clients and many accounting software vendors now require SOC 2 certification. Achieving SOC 2 Type II seems daunting: 6-12 months of evidence collection, extensive documentation, and auditor scrutiny. We guide accounting firms through SOC 2 without disrupting tax season or client work. We start after tax season, implement controls during lower-volume months, and collect evidence continuously so audit preparation doesn't overwhelm your team.

Our SOC 2 programs focus on controls accounting firms actually need: access management, data encryption, backup and recovery, vendor management, and change control—not unnecessary documentation that adds complexity without improving security. You get SOC 2 certification that opens business opportunities while building genuine security improvements.

Client Portal & Document Security

Many accounting firms still share tax returns and financial statements via unencrypted email—a significant security risk and potential compliance violation. We implement secure client portals with encryption, multi-factor authentication, granular access controls, and audit logging. Clients appreciate the professional experience and enhanced security. Your firm gains defensible security practices and satisfies requirements under FTC Safeguards and state data protection laws.

We also help firms transition from on-premise file servers to cloud-based solutions that provide better security, automatic backups, and remote access—critical capabilities in today's hybrid work environment. Cloud migrations are planned around your schedule, with minimal disruption to client service during transitions.

Practice Management Integration

Your accounting practice management software, tax preparation systems, and client portals are the backbone of your operations. Security implementations must integrate seamlessly with CCH Axcess, Thomson Reuters, Drake, Lacerte, QuickBooks, and other tools you depend on. We have extensive experience securing accounting technology stacks without breaking integrations or creating workflow disruptions.

When implementing security controls like multi-factor authentication or endpoint detection, we test compatibility with your practice management systems, phase rollouts to minimize workflow changes, and provide user training tailored to accounting staff—not generic security awareness that doesn't address your specific tools and threats.

What Sets Our Accounting Firm Practice Apart

We've worked with dozens of CPA firms and accounting practices ranging from sole practitioners to 50-person firms. This experience gives us deep understanding of your business model, seasonal challenges, and security requirements.

Seasonal Scheduling Flexibility

We understand tax season is untouchable. Security projects, compliance initiatives, and major system changes happen outside January-April. Need to delay a penetration test because you're slammed with 1040s? Not a problem. Want to implement new security controls in May when workload drops? We can start immediately. This flexibility—respecting your seasonal business rhythm—differentiates us from security firms treating accounting like every other industry.

Accounting Software Expertise

We've secured CCH, Thomson Reuters, Intuit, Drake, and other major accounting platforms. We know these systems' security capabilities, common misconfigurations, and integration requirements. When securing your practice management software, we leverage built-in security features you may not know exist, identify unnecessary permissions creating risk, and implement multi-factor authentication without breaking workflows. This platform-specific expertise accelerates implementations and avoids costly mistakes.

IRS Security Summit Alignment

The IRS Security Summit provides cybersecurity guidelines for tax professionals. Our security programs align with Security Summit recommendations: securing tax software, protecting client data, implementing authentication controls, and recognizing tax-specific phishing threats. When you implement our recommendations, you're not just checking boxes—you're following IRS-endorsed best practices that reduce your risk of becoming an identity theft victim and potentially suffering IRS sanctions.

Pragmatic Risk Management

Accounting firms can't implement enterprise-grade security on small business budgets. We recommend security controls proportionate to your firm size and risk profile. A 5-person tax practice needs different security than a 50-person full-service CPA firm. We scale recommendations appropriately: essential controls every firm needs regardless of size, valuable enhancements for growing practices, and enterprise-grade solutions for larger firms. You get security that protects without overinvesting in capabilities you don't require.

Our Commitment to CPAs

We measure success by your outcomes: passing SOC 2 audits, preventing tax season security incidents, protecting client data, and maintaining security programs that don't consume disproportionate time or budget relative to firm size.

Many accounting firms work with us year after year because we understand your business: respecting tax season deadlines, speaking your language about practice management, and recommending security improvements that genuinely protect your firm and clients—not selling unnecessary services to inflate invoices.

Frequently Asked Questions

Common questions about cybersecurity for accounting firms

What is SOC 2 compliance and does my accounting firm need it?

SOC 2 is a cybersecurity compliance framework designed for service organizations that handle client data. If your accounting firm provides services like bookkeeping, payroll processing, or cloud-based accounting, many clients and partners will require SOC 2 certification. SOC 2 Type I validates your security controls at a point in time, while SOC 2 Type II demonstrates those controls are effective over a period (typically 6-12 months). Having SOC 2 certification is increasingly required for winning enterprise clients and demonstrates your commitment to data security.

How do we protect client data during tax season when cyber threats increase?

Tax season sees a significant spike in phishing attacks, ransomware, and social engineering targeting accounting firms. Implement multi-factor authentication on all systems, increase employee security awareness training before tax season, enable email filtering to block tax-themed phishing attempts, conduct regular backups of client data, limit access to sensitive systems based on job roles, and monitor for unusual login attempts or file access patterns. Consider scheduling a security assessment before peak season to identify and fix vulnerabilities.

What are the FTC Safeguards Rule requirements for accounting firms?

The updated FTC Safeguards Rule applies to non-banking financial institutions, including many accounting firms. Requirements include designating a qualified individual to oversee your security program, conducting periodic risk assessments, implementing safeguards to control identified risks, monitoring and testing the effectiveness of safeguards, training staff on security procedures, developing a written incident response plan, and requiring service providers to implement appropriate safeguards. The rule also mandates specific technical requirements like encryption and multi-factor authentication.

Should our accounting firm purchase cyber insurance?

Yes, cyber insurance is highly recommended for accounting firms due to the sensitive client financial data you handle. A data breach at an accounting firm can result in significant costs including client notification, credit monitoring, legal fees, regulatory fines, and loss of business. Cyber insurance policies typically cover these costs, along with forensic investigations and public relations support. Many policies also provide access to breach response experts. Before purchasing, implement strong security controls as insurers now require security assessments and may deny coverage to firms with poor security practices.

How do we securely share sensitive documents with clients?

Never send sensitive financial documents via regular email. Instead, use encrypted client portals designed for accounting firms, ensure all document sharing requires multi-factor authentication, implement access controls so clients only see their own documents, use encryption both in transit and at rest for all client data, maintain audit logs of who accessed what documents and when, and set automatic expiration dates for shared document access. Train clients on secure practices for accessing their documents and require strong passwords. Many practice management systems include secure client portals with these features built-in.

Ready to Strengthen Your Data Security?

Schedule a free consultation to discuss your SOC 2 compliance needs and client data protection requirements. We'll help you build a security program that protects your practice and maintains client trust.

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