Yes. We work with FINRA-regulated and SEC-registered firms and understand the technical requirements behind Regulation S-P, the FTC Safeguards Rule, and FINRA's cybersecurity guidance. We translate those requirements into specific IT controls and configurations.

We maintain records of all changes made to your infrastructure, access logs, and incident reports. We can provide documentation on request to support your compliance audits and regulatory examinations. We also alert you proactively when a system change could affect your compliance posture.

That depends on your current backup and recovery configuration. We design your infrastructure with a defined Recovery Time Objective (RTO) — the maximum acceptable downtime — and test against it. For financial firms, minimizing downtime during trading hours is a business-critical requirement we plan around specifically.

Yes. FINRA, SEC, and the FTC Safeguards Rule all require business continuity and data recovery planning. Your backup solution must protect client financial records, support defined retention periods, and be tested regularly to confirm it works when needed.

Only if those platforms are configured to meet your archiving and supervision obligations. Not all collaboration tools are compliant out of the box. We evaluate and configure your communication platforms against your specific regulatory requirements.

Yes, with proper configuration. Microsoft offers compliance features including audit logging, eDiscovery, legal hold, and communication archiving that align with FINRA and SEC requirements. These features must be explicitly enabled and configured — they are not on by default.

Through role-based access controls, MFA, and regular access reviews. We configure your systems so each employee can access only what their role requires — and we audit that access on a defined schedule to catch permission drift before it becomes a liability.

Yes, but only through a secured, managed connection. We provide encrypted remote access solutions that protect client financial data in transit and ensure that access is logged and auditable — which is required under most financial compliance frameworks.

Business Email Compromise (BEC) — where attackers impersonate executives or vendors to authorize fraudulent wire transfers. It is one of the highest-loss cybercrimes targeting financial services. We protect against this through email authentication, anti-impersonation controls, and staff awareness.

If you are a FINRA-regulated broker-dealer or registered investment advisor, yes. FINRA Rule 4511 and SEC Rule 17a-4 require that business-related electronic communications — including email and certain messaging platforms — be retained and retrievable for 3–6 years depending on the record type.