FMG's SOC2 covers shared business practices including HR, IT, and management functions across all brands.
The SOC2 also includes a platform-specific review of FMG Suite, LLC's
Advisor Marketing Platform
CAIQ v4 Self-Assessment
FMG has published responses to the Cloud Security Alliance's Consensus Assessment Initiative Questionnaire (CAIQ) which can be retrieved from their website.
Terms of Service
FMG's current Terms of Service, published on our public website.
Privacy Policy
FMG's current Privacy Policy, published on our public website.
FMG Editor Pentest
Results of the 2024 pentest of the backend "Editor" of the FMG Advisor Marketing Platform. Testing performed by Cobalt.
FMG Websites Pentest
Results of the 2024 pentest of the websites hosted as part of the FMG Advisor Marketing Platform. Testing performed by Cobalt.
Certificate of Insurance
Documentation of Insurance coverage held by FMG Suite, LLC and related entities as of November 2024.
FMG SOC2 Policies
FMG's bundle of SOC2 policies, for customers who want to know specifically how we implement the SOC2 standard.
FMG Disaster Recovery Test Plan
Test Plan and Log for FMG's Disaster Recovery Testing - as of November 2024
Monitoring
Change Management
Software Change Testing
Software changes are tested prior to being deployed into production.
Secure Development Policy
A Secure Development Policy defines the requirements for secure software and system development and maintenance.
Production Data Use is Restricted
Production data is not used in the development and testing environments, unless required for debugging customer issues.
Segregation of Environments
Development, staging, and production environments are segregated.
Baseline Configurations
Baseline configurations and codebases for production infrastructure, systems, and applications are securely managed.
Configuration and Asset Management Policy
A Configuration and Asset Management Policy governs configurations for new sensitive systems
Change Management Policy
A Change Management Policy governs the documenting, tracking, testing, and approving of system, network, security, and infrastructure changes.
Organizational Management
Information Security Program Review
Management is responsible for the design, implementation, and management of the organization’s security policies and procedures. The policies and procedures are reviewed by management at least annually.
Background Checks
Background checks or their equivalent are performed before or promptly after a new hires start date, as permitted by local laws.
Internal Control Monitoring
A continuous monitoring solution monitors internal controls used in the achievement of service commitments and system requirements.
Cybersecurity Insurance
Cybersecurity insurance has been procured to help minimize the financial impact of cybersecurity loss events.
Advisor Meetings on Security
Senior management and/or board of directors meets at least annually to review business goals, company initiatives, resource needs, risk management activities, and other internal/external matters. The information security team meets at least annually to discuss security risks, roles & responsibilities, controls, changes, audit results and/or other matters as necessary.
New Hire Screening
Hiring managers screen new hires or internal transfers to assess their qualifications, experience, and competency to fulfill their responsibilities. New hires sign confidentiality agreements or equivalents upon hire.
Code of Conduct
A Code of Conduct outlines ethical expectations, behavior standards, and ramifications of noncompliance.
Organizational Chart
Management maintains a formal organizational chart to clearly identify positions of authority and the lines of communication, and publishes the organizational chart to internal personnel.
Internal Control Policy
An Internal Control Policy identifies how a system of controls should be maintained to safeguard assets, promote operational efficiency, and encourage adherence to prescribed managerial policies.
Performance Reviews
Internal personnel are evaluated via a formal performance review at least annually
Roles and Responsibilities
Information security roles and responsibilities are outlined for personnel responsible for the security, availability, and confidentiality of the system.
Disciplinary Action
Personnel who violate information security policies are subject to disciplinary action and such disciplinary action is clearly documented in one or more policies.
Acceptable Use Policy
An Acceptable Use Policy defines standards for appropriate and secure use of company hardware and electronic systems including storage media, communication tools and internet access.
Performance Review Policy
A Performance Review Policy provides personnel context and transparency into their performance and career development processes.
Information Security Policy
An Information Security Policy establishes the security requirements for maintaining the security, confidentiality, integrity, and availability of applications, systems, infrastructure, and data.
Independent Advisor
The board of directors or equivalent entity function includes senior management and external advisors, who are independent from the company's operations. An information security team has also been established to govern cybersecurity.
Availability
Backup Restoration Testing
Backed-up data is restored to a non-production environment at least annually to validate the integrity of backups.
Business Continuity and Disaster Recovery Policy
Business Continuity and Disaster Recovery Policy governs required processes for restoring the service or supporting infrastructure after suffering a disaster or disruption.
Testing the Business Continuity and Disaster Recovery Plan
The Business Continuity and Disaster Recovery Plan is periodically tested via tabletop exercises or equivalents. When necessary, Management makes changes to the Business Continuity and Disaster Recovery Plan based on the test results.
Uptime and Availability Monitoring
System tools monitors for uptime and availability based on predetermined criteria.
Confidentiality
Data Classification Policy
A Data Classification Policy details the security and handling protocols for sensitive data.
Data Retention and Disposal Policy
A Data Retention and Disposal Policy specifies how customer data is to be retained and disposed of based on compliance requirements and contractual obligations.
Disposal of Customer Data
Upon customer request, Company requires that data that is no longer needed from databases and other file stores is removed in accordance with agreed-upon customer requirements.
Access Security
Asset Inventory
A list of system assets, components, and respective owners are maintained and reviewed at least annually
Encryption and Key Management Policy
An Encryption and Key Management Policy supports the secure encryption and decryption of app secrets, and governs the use of cryptographic controls.
Administrative Access is Restricted
Administrative access to production infrastructure is restricted based on the principle of least privilege.
Unique Access IDs
Personnel are assigned unique IDs to access sensitive systems, networks, and information
User Access Reviews
System owners conduct scheduled user access reviews of production servers, databases, and applications to validate internal user access is commensurate with job responsibilities.
Access Control and Termination Policy
An Access Control and Termination Policy governs authentication and access to applicable systems, data, and networks.
Removal of Access
Upon termination or when internal personnel no longer require access, system access is removed, as applicable.
Complex Passwords
Personnel are required to use strong, complex passwords and a second form of authentication to access sensitive systems, networks, and information
Access to Product is Restricted
Non-console access to production infrastructure is restricted to users with a unique SSH key or access key
Network Security
Automated Alerting for Security Events
Alerting software is used to notify impacted teams of potential security events.
Network Security Policy
A Network Security Policy identifies the requirements for protecting information and systems within and across networks.
Vulnerability Management
Third-Party Penetration Test
A 3rd party is engaged to conduct a network and application penetration test of the production environment at least annually. Critical and high-risk findings are tracked through resolution.
Vulnerability and Patch Management Policy
A Vulnerability Management and Patch Management Policy outlines the processes to efficiently respond to identified vulnerabilities.
Incident Response
Incident Response Plan
An Incident Response Plan outlines the process of identifying, prioritizing, communicating, assigning and tracking confirmed incidents through to resolution.
Lessons Learned
After any identified security incident has been resolved, management provides a "Lessons Learned" document to the team in order to continually improve security and operations.
Incident Response Plan Testing
The Incident Response Plan is periodically tested via tabletop exercises or equivalents. When necessary, Management makes changes to the Incident Response Plan based on the test results.
Tracking a Security Incident
Identified incidents are documented, tracked, and analyzed according to the Incident Response Plan.
Risk Assessment
Risk Assessment and Treatment Policy
A Risk Assessment and Treatment Policy governs the process for conducting risk assessments to account for threats, vulnerabilities, likelihood, and impact with respect to assets, team members, customers, vendors, suppliers, and partners. Risk tolerance and strategies are also defined in the policy.
Risk Assessment
Formal risk assessments are performed, which includes the identification of relevant internal and external threats related to security, availability, confidentiality, and fraud, and an analysis of risks associated with those threats.
Vendor Risk Management Policy
A Vendor Risk Management Policy defines a framework for the onboarding and management of the vendor relationship lifecycle.
Risk Register
A risk register is maintained, which records the risk mitigation strategies for identified risks, and the development or modification of controls consistent with the risk mitigation strategy.
Communications
Privacy Policy
A Privacy Policy to both external users and internal personnel. This policy details the company's privacy commitments.
Terms of Service
Terms of Service or the equivalent are published or shared to external users.
Communication of Security Commitments
Security commitments and expectations are communicated to both internal personnel and external users via the company's website.
Description of Services
Descriptions of the company's services and systems are available to both internal personnel and external users.
Physical Security
Physical Security Policy
A Physical Security Policy that details physical security requirements for the company facilities is in place.
