FTC Safeguards & IRS 4557 Compliance Matrix
The most comprehensive side-by-side mapping of every FTC Safeguards Rule, IRS Publication 4557, and cyber insurance requirement — all in one place.
Stop wondering what applies to your firm. This matrix covers 52 requirements across 7 categories so you can see exactly where you stand.
What's Inside the Matrix
Governance & Program Management
QI designation, WISP, risk assessments, incident response plans, board reporting, security training — 10 requirements mapped
Policies & Procedures
Data collection, network protection, user access, WiFi, BYOD, AI governance, acceptable use — 13 policy requirements
Technical Controls
MFA, EDR, firewalls, encryption, patch management, IDS/IPS, network segmentation, log management — 15 controls
Testing & Assessments
Penetration testing, vulnerability scanning, tabletop exercises — with FTC frequency requirements
Vendor & Third-Party Management
Service provider monitoring, vendor risk assessments, contract requirements — 3 critical areas
Incident Reporting & Response
FTC/state reporting, IRS Form 14039, ransomware playbooks, business continuity plans
Preview
| Requirement | FTC | IRS | Insurance | SafeGuard |
|---|---|---|---|---|
| Governance & Program Management | ||||
| Designated Qualified Individual | ||||
| Written Information Security Plan | ||||
| Written Risk Assessment | ||||
Why This Matters for Your Firm
Most CPA firms are subject to three overlapping compliance frameworks — FTC Safeguards Rule, IRS Publication 4557, and their cyber insurance policy requirements. Missing even one requirement can mean regulatory fines, insurance claim denials, or failed audits. This matrix eliminates the guesswork by showing you exactly what's required, what's recommended, and what SafeGuardGRC already handles for you.
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