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Cybersecurity & Compliance for Financial Services Firms
SEC, FINRA, and state regulatory compliance. Advanced threat protection for RIAs, wealth managers, and boutique financial firms.
Get a 30-min IT assessment →Financial firms are the most-attacked segment in cybersecurity. We implement SEC Regulation S-P safeguards, build incident response plans for regulatory notification, and protect client wealth data with defense-in-depth.
Industry Challenges We Solve
SEC Reg S-P and Reg S-ID compliance
FINRA cybersecurity and supervision rules
Advanced persistent threats targeting wealth data
Recordkeeping and email retention (Rule 17a-4)
Tailored Solutions
Reg S-P Program
Written information security program and annual review
Advanced Threat Defense
MDR with financial-sector threat intelligence
Compliant Archiving
17a-4 compliant email and communication archival
Compliance & Regulatory Coverage
SEC Reg S-P, FINRA Rule 30, Rule 17a-4, state financial privacy laws, NAIC model law if insurance-adjacent.
Common Questions from Financial Leaders
Does Reg S-P apply to our 15-person RIA?
Yes, Reg S-P applies to all SEC-registered advisors regardless of size.
How do we retain emails for 17a-4?
Immutable archival with WORM storage. We implement and manage this end-to-end.
Serving financial businesses in Los Angeles
Free 30-min consultation. We'll assess your environment and give you a real action plan.