Beyond compliance: what a well-executed WISP looks like

What the session covers

1. Where the requirement comes from. The Safeguards Rule, the IRS publications, and the line on Form W-12 that puts it in front of you every year.
2. The structure that gets recognized. Why building to the Publication 5708 framework matters more than writing something better but unfamiliar.
3. The nine elements, walked through. 16 CFR 314.4(a) to (i), with what each one asks a small firm to be able to produce.
4. Where the small-firm exemption applies. The four provisions 314.6 removes, and the many it does not.
5. Evidence versus assertion. The controls most firms have but cannot show, and how that plays out when someone asks.
6. Keeping it true. The monthly and annual obligations, and why a plan drifts out of date faster than anyone expects.
7. Working with your IT provider and attorney. Which questions belong to whom, and how to get answers on the record.