IT for Financial Firms Under Regulatory Scrutiny

We're not a compliance consultant, but we know the technical controls that frameworks like SEC Reg S-P, NAIC, state credit union regs, and cyber insurance questionnaires all ask about — and we can produce the evidence your compliance team needs.

We're vendor-agnostic. Rather than claiming expertise in every financial platform, we focus on securing the environment around them — identity, access, and data flow. The platform keeps working the way your team expects; access to it becomes harder to compromise.

The SEC's amended Regulation S-P requires registered investment advisers and broker-dealers to maintain a written incident response program, notify affected customers within 30 days of a data breach, and oversee third-party service providers. The compliance date for most RIAs is in 2026. The technical pieces we help with: documenting how customer information is protected, putting MFA on every system that touches customer data, logging access for breach forensics, and maintaining a vendor inventory with security attestations.

Effectively yes — most custodians, carriers, and B2B clients now ask for proof of cyber coverage during onboarding or renewal. The catch: insurers won't quote (or will quote astronomically) without baseline controls in place. The 2026 questionnaires consistently ask about MFA on every account, EDR on every endpoint, immutable backups, written incident response, and vendor management. We help you answer those honestly the first time, so you get coverage at a sane premium instead of a denial.

We map your environment to the controls regulators and insurers actually ask about — Reg S-P, NAIC, custodian questionnaires, cyber insurance applications. The output is a prioritized list of gaps with what to fix first, the rough effort, and the controls each fix maps to. You get the report whether or not you hire us to remediate. Most assessments take one to two weeks once we have read-only access to your systems.