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.
SEC and FINRA examiners are increasingly focused on cybersecurity practices. Firms that cannot produce documentation of their security controls, policies, and incident history face findings and remediation requirements.
Client account data, financial plans, and investment records are high-value targets. Many firms have less protection in place than their clients — or their regulators — would expect.
Business email compromise and spear phishing are the leading attack vectors against financial firms. Advisors handling large transactions are specifically targeted, and standard email configurations don't provide adequate protection.
Advisors working from home, client sites, and travel create access patterns that most security architectures weren't designed to handle securely. VPN-only solutions are no longer sufficient.
CRM platforms, portfolio management systems, and custodian connections create third-party risk that firms are responsible for managing — but rarely do comprehensively.
Most small and mid-size financial firms have no documented incident response plan. When something happens, the response is improvised — which regulators view as a compliance failure in itself.
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.
