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Cybersecurity & Compliance for Financial Services Firms
SEC Reg S-P safeguards, Rule 17a-4 archiving, and managed detection for RIAs, wealth managers, and boutique financial firms in Los Angeles.
Get a 30-min IT assessment →Elevate Solutions provides cybersecurity and compliance-aligned IT for RIAs, wealth managers, and boutique financial firms in Los Angeles. SEC Reg S-P requires a written information security program and incident-response procedures regardless of firm size, and examiners ask for the evidence. We build the program, archive communications to Rule 17a-4, and defend client wealth data with managed detection and response.
Industry Challenges We Solve
SEC Reg S-P safeguards and the Reg S-ID identity-theft program
FINRA cybersecurity and supervision obligations
Email and communication retention under Rule 17a-4
Targeted attacks on wealth data and wire instructions
Tailored Solutions
Reg S-P Program
Written information security program with annual review
Threat Detection
Managed detection and response with human investigation of higher-severity alerts
Compliant Archiving
Rule 17a-4 WORM archival of email and business communications
Compliance & Regulatory Coverage
SEC Reg S-P and Reg S-ID, FINRA cybersecurity guidance, SEC Rule 17a-4, state financial privacy laws, and the NAIC model law where insurance-adjacent.
Common Questions from Financial Leaders
Does Reg S-P apply to our 15-person RIA?
Yes. Reg S-P applies to every SEC-registered adviser regardless of headcount, and the 2024 amendments added incident-response and customer-notification requirements. Size changes the scale of the program, not the obligation.
How do we retain emails for Rule 17a-4?
Immutable WORM archival of email and business communications — including the off-channel apps examiners now ask about. We implement it, manage it, and produce from it when requested.
What will an SEC exam actually ask for?
Your written information security program, latest risk assessment, vendor due-diligence files, incident-response plan, and training records. We maintain that evidence library so an exam letter is a retrieval exercise, not a project.
Serving financial businesses in Los Angeles
A 30-minute consultation. We'll assess your environment and give you a real action plan.