FTC Safeguards & FINRA
Compliance, Fully Managed.
FTC Safeguards, FINRA, and SEC compliant cybersecurity for accounting firms, broker-dealers, RIAs, financial advisors, and wealth management companies. Full compliance without the complexity.
Financial Services IT Challenges We Solve
per violation penalty
FTC Safeguards Compliance
The updated Safeguards Rule is complex. We implement every technical requirement — MFA, encryption, access controls, pen testing — so you're fully compliant.
examination ready
FINRA Cybersecurity
FINRA requires broker-dealers to maintain robust cybersecurity programs. We implement controls for Reg S-P, Rule 4370 business continuity, and FINRA's cybersecurity examination priorities.
compliance managed
SEC Regulation S-P & S-ID
SEC-registered advisors must protect client data under Reg S-P and detect identity theft under Reg S-ID. We build and maintain the policies, controls, and incident response plans you need.
increase in financial cyberattacks
Client Data Protection
Your clients' financial data is a high-value target. We secure it with enterprise-grade encryption, access controls, and monitoring.
compliant archiving
Books & Records Retention
SEC Rule 17a-4 and FINRA record retention requirements demand secure, tamper-proof archiving. We configure compliant email archiving, document retention, and audit trails.
tested & documented
Business Continuity (Rule 4370)
FINRA requires a written BCP. We build and test your disaster recovery plan, backup procedures, and failover systems to satisfy Rule 4370 requirements.
SOC 2 ready
SOC 2 Preparation
We implement the technical controls and documentation you need to achieve and maintain SOC 2 Type II certification.
vendor coverage
Vendor Risk Management
Every third-party with access to client data is a risk. We assess, monitor, and manage your vendor security posture per FINRA and SEC expectations.
QI support
Qualified Individual
The FTC requires a Qualified Individual to oversee your security program. We serve as or support your QI with expertise and documentation.
governance managed
AI Compliance & Governance
The SEC and FTC are actively targeting AI misuse in financial services. We help you govern AI tools, prevent shadow AI risks, and document compliance with emerging AI regulations.
Financial Firms We Serve
Protect Your Firm. Protect Your Clients.
Get a free FTC Safeguards compliance assessment and find out exactly where your firm stands.
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