FINRA books-and-records
All electronic communications captured, indexed, and retained per 17a-4.
// FINANCIAL SERVICES
FIDUCIARY-GRADE IT.
Banks, credit unions, RIAs, hedge funds, and private equity run on trust. We deliver the controls, evidence, and uptime your regulators and your clients expect.
The constraints of financial-services IT
Financial services organizations operate under a layered set of obligations: data protection rules from regulators, security expectations from their insurers and custodians, uptime expectations from their customers, and internal controls driven by their auditors. All of those have to be reflected in the infrastructure, and all of them have to be demonstrable on request.
We work with community banks, credit unions, registered investment advisors, broker-dealers, insurance brokerages, and wealth-management firms. The shared pattern is the need for tight access controls, detailed audit trails, segregated environments for regulated data, and recovery plans that can be evidenced to examiners.
// WHAT YOU FACE
CHALLENGES WE SOLVE.
SEC Reg S-P / S-ID
Encryption, identity governance, and incident response aligned to safeguards and red-flags rules.
PCI-DSS cardholder scope
Network segmentation and quarterly ASV scans that keep the CDE small and documented.
Board-level reporting
Quarterly cyber risk reports your board can actually read — mapped to NIST CSF.
Frameworks we design against
Controls we map by default
Every financial-services engagement starts with a control baseline aligned to the frameworks most commonly referenced by examiners in the sector: FFIEC CAT, NIST CSF, and SOC 2. That baseline covers segmentation of regulated data, encrypted storage and transmission, logging with retention windows matched to regulatory expectations, privileged access controls with break-glass procedures, and documented incident response with notification pathways.
TALK TO AN INDUSTRY SPECIALIST.
Our team includes engineers who have operated in your vertical. We speak your auditors' language.