FOR SMALL ACCOUNTING FIRMS (1–5 STAFF MEMBERS)
FTC Safeguards Compliance: Done For You in 21 Days
We deliver your full Safeguards program: risk assessment, WISP, policies, employee training, and audit-ready documentation in 21 days
✓ Done in 21 Days ✓ Flat-Fee Pricing ✓ Built for Firms Under 5 Staff Members
The Reality for Small Accounting Firms
The FTC Safeguards Rule Isn't Optional Anymore
If your firm handles tax returns, financial records, or client PII, the FTC Safeguards Rule applies to you, and most small firms aren't fully compliant.
The risks are real:
• Fines and regulatory penalties (up to $50,120 per violation)
• Mandatory breach reporting to the FTC within 30 days
• Loss of client trust after a data incident
The Rule is dense, technical, and easy to push off, especially during tax season. We make it something you can finish, not postpone.
How It Works
A Simple 21-Day FTC Safeguards Implementation Process
WEEK 1: Discovery & Risk Assessment
We map your systems, identify compliance gaps, and document how client data is stored and accessed.WEEK 2: Build & Document
We create your Written Information Security Program (WISP), policies, and procedures tailored to your firm, not a template.WEEK 3: Implement & Train
We help implement safeguards, train your team on required procedures, and deliver a complete compliance package ready for review.Day 21: You have a complete, documented compliance package and clarity on what comes next.
What’s Included
Inside Your 21-Day Implementation
No upsells. No hidden fees. Everything below is included in your 21-day FTC Safeguards implementation designed specifically for small accounting firms.
Full Risk Assessment
A documented review of your systems, vendors, and data flows so you clearly understand your current compliance posture.Written Information Security Plan (WISP)
A customized WISP aligned with FTC Safeguards requirements. Built for your firm, not a generic template.Policies & Procedures Library
Core security policies including access control, incident response, vendor management, and acceptable use policies tailored for small firms.Implementation Guidance
Step-by-step instructions for rolling out safeguards across your team, tools, and existing workflows.Employee Security Training
Required under FTC Safeguards. We handle delivery, tracking, and documentation for your records.Vendor & Service Provider Review
Assessment of third-party tools and providers to identify potential security risks and recommended actions.Incident Response Plan
A clear response playbook so your firm knows exactly what to do in the event of a security incident.Compliance Documentation Package
Organized, audit-ready documentation you can provide to clients, insurers, or regulators if needed.
Eight deliverables. One flat fee. One complete compliance system.
Not ready for full implementation?
Start with a Fixed-Fee Risk Assessment
Get clear answers about where your firm stands without committing to the full compliance build. This is the same initial assessment we run for every client, available as a standalone engagement.
What you get:
Gap Analysis
Where your firm stands today compared to FTC Safeguards requirements.Risk Identification
Specific vulnerabilities in your systems, vendors, and processes documented in plain language.Prioritized Action Plan
Clear next steps on what to fix first, second, and third. No unnecessary documentation or filler.Roadmap to Compliance
A defined path forward, whether you handle it internally or work with us on the full implementation.
Flat-fee Engagement. You know the cost upfront before we start. No hourly billing. No scope creep. If you move forward with the full 21-day implementation, the assessment fee is credited toward the project.
PRICING
Simple Fixed-Fee Pricing. No Surprises.
Three fixed-fee options. You'll know the cost before we begin. No hourly billing. No surprise invoices.
Risk Assessment:
$1,500 fixed-fee A complete compliance assessment with upfront pricing. If you move forward with the full implementation, your assessment fee is credited toward the project.Best for: Firms that want clarity on their compliance status before committing to full implementation.
21-Day Compliance Build:
A fixed-fee FTC Safeguards implementation tailored to your firm. Pricing is based on your systems and scope.
1-2 user firms: $3,500
3-5 user firms: $6,000Best for: Firms that want a complete, done-for-you compliance solution without spending months figuring it out internally.
Ongoing Compliance Support:
$297 per month
Optional monthly support to keep your program current after implementation. Includes annual WISP reviews, employee training refreshes, policy updates when the Rule changes, quarterly check-in calls, and priority email support.Best for: Firms that want their compliance program maintained as the Rule evolves, without bringing it in-house.
One fixed price. One defined scope. One clear outcome.
All pricing shown upfront. No obligation to proceed.
FAQ
Questions We Hear Most
How do I know if the FTC Safeguards Rule applies to my firm?If your firm prepares tax returns or handles clients' financial records or personal information, it almost certainly does. The Rule names accountants and tax preparers specifically, and most paid preparers already attest to having a written security plan when they renew their PTIN. Firms that maintain information on fewer than 5,000 clients are exempt from a few of the Rule's requirements, but not from the Rule itself. If you're not sure where you land, that's exactly what the free call is for.
What happens on the free call?It's a 15-minute working call, not a sales pitch. We walk through how your firm handles client data, flag the most likely gaps, and you leave with a clear picture of where you stand and what to do next, whether or not you ever work with us. No prep, no obligation.
You'll need access to our systems and client data.How do you keep it secure?
We request only the minimum access needed to assess your setup, under strict confidentiality, and we're happy to sign an NDA. Protecting client data is the whole point of this work, so we hold our own handling to the same standards we help you put in place.
What if the assessment shows we're already in good shape?Do I have to do the full build?
No. The Risk Assessment is a standalone, fixed-fee engagement. If you only need a few fixes, we'll tell you and hand you the prioritized plan to handle however you like. If you do go ahead with the full implementation, the assessment fee is credited toward it.
How is this different from hiring a cybersecurity consultant or MSP?Most cybersecurity consultants price by the hour and serve a broad range of industries. MSPs typically handle your IT infrastructure, not your compliance documentation. This service is purpose-built for small accounting firms working through the FTC Safeguards Rule, with a fixed scope and a fixed price.
What if my firm already has some policies or security tools in place?That's common, and it's a good starting point. The Risk Assessment maps what you already have against the Safeguards Rule requirements and identifies the gaps. If you move into full implementation, we build on what's working and only replace what isn't compliant.
How much of my team's time will this require?Most engagements require around 3 to 8 hours of total time from you across the 21 days. That typically includes a discovery call, system access setup, document reviews, and a short employee training session. We handle the documentation and structuring work so your team can stay focused on client deliverables.
Will this make us fully compliant with the FTC Safeguards Rule?The implementation aligns your firm with the Rule's documented requirements: a written information security program (WISP), risk assessments, employee training, vendor oversight, and an incident response plan. Compliance is an ongoing posture, not a finish line, which is why we recommend ongoing support to keep the program current.
How is this different from buying a WISP template online?Templates give you a generic document. They don't assess your actual risk, train your team, build your incident response plan, document your vendor reviews, or align the program with your specific systems. The Safeguards Rule requires a program tailored to your firm, not a downloaded template.
Start Your Compliance Process
A Clear Path to FTC Safeguards Compliance
A 15-minute call gives you a clear understanding of where your firm stands and the exact next steps to address FTC Safeguards requirements.
15 minutes. No pressure. No obligation. Just clarity on your compliance status and what to do next.
Your Compliance Specialist
Built by Someone Who Understands Your Industry
I'm Zach Middleton. I built this service because solo CPAs and small firms shouldn't need an enterprise budget, or an in-house IT department, to meet FTC Safeguards requirements.I spent four years running IT and security for an accounting firm in Northern Virginia supporting 50+ users, so I know the software you live in: QuickBooks, CCH ProSystem fx, GoFileRoom, TaxDome, and Drake Tax. I understand how client data actually moves through a tax and accounting practice. I know where the sensitive files sit, how returns get exchanged, and where the real risk hides.That's what lets me turn dense compliance rules into steps a one-to-five person firm can actually implement and maintain. I'm an Azure Solutions Architect Expert and Security+ certified, but what matters more is that I speak your workflow, not just IT.
Book Your Compliance Call
Contact Us
Middleton Compliance Group LLC
Dunkirk, MD 20754
[email protected]
www.middletoncompliance.com
301-690-0685