FTC Safeguards Rule Compliance

Here’s a clear, actionable guide to the 9 key FTC Safeguards Rules — with practical tips to protect customer data and stay compliant.

The 9 Core Rules & Tips

• Appoint a Leader Designate a qualified individual to oversee security.
  • Tip: Choose someone with cybersecurity training or hire a consultant.
• Check Risks Yearly Conduct annual risk assessments.
  • Tip: Use FTC or NIST templates to simplify the process.
• Add Protections Deploy encryption, firewalls, and access controls.
  • Tip: Enable MFA on all accounts with customer data.
• Test Regularly Perform penetration testing and vulnerability scans.
  • Tip: Schedule quarterly reviews with your IT team.
• Train Your Team Annual security training for all employees.
  • Tip: Use real phishing simulations to boost awareness.
• Watch Vendors Verify third parties follow security standards.
  • Tip: Require SOC 2 reports or security certifications.
• Update Often Revise your plan as risks evolve.
  • Tip: Review after any major system or staffing change.
• Plan for Problems Maintain a written incident response plan.
  • Tip: Run a mock breach drill at least once a year.
• Report to Leaders Deliver annual written reports to management.
  • Tip: Include metrics like training completion and open risks.