Financial Services · Managed IT
Financial consulting firms carry obligations to clients that extend beyond financial advice. Your technology environment is part of how you fulfill, or fail, those obligations.
Here's what that looks like in practice.
Security controls, policies, and incident history are current at all times. An examination request can be answered quickly.
Client financial data is encrypted and access-controlled to match the trust clients place in the firm.
DMARC, DKIM, and advanced threat protection are in place, closing the gap that BEC relies on.
Client data is protected whether an advisor is in the office, at a client site, or working remotely.
Vendor security posture is reviewed and documented as a normal part of doing business.
If something happens, the firm knows what to do. The plan exists, has been reviewed, and roles are assigned.
We work with financial consulting firms that understand technology is part of their compliance posture, not separate from it.
We maintain current documentation of your security controls, policies, access management, and incident history, so examination requests can be fulfilled quickly and accurately.
DMARC, DKIM, SPF, advanced threat protection, and advisor-specific phishing training address the primary attack vector against financial firms.
Encryption, access controls, and data classification ensure that client records are protected consistent with regulatory expectations and fiduciary obligations.
We assess the security posture of your key technology vendors and maintain documentation of vendor risk management activities, a specific area of regulatory focus.
SEC Regulation S-P requires registered investment advisers to adopt written policies and procedures to protect client financial information. The SEC has expanded this rule to include breach notification requirements.
FINRA has published cybersecurity guidance and conducts examinations that assess member firms' cybersecurity practices. Examiners focus on governance, risk assessment, and technical controls.
Financial consulting firms that manage assets or data on behalf of institutional clients increasingly face SOC 2 audit requirements from their clients as a condition of engagement.
State-registered investment advisers are subject to state securities regulations that may include specific cybersecurity requirements. Requirements vary significantly across jurisdictions.
No pressure, no pitch. A real conversation about what you're dealing with and whether there's a fit.
