We help investment banking firms turn security requirements into working controls. Our engineers review staff access, devices, customer information, communications systems, and recovery arrangements.
Your compliance officer and legal advisers establish the requirements that apply to the firm. We assess the technology, configure agreed controls, and document how those controls operate.
The review starts with your business activities, registrations, systems, and service providers. We identify gaps, assign technical work, and provide evidence your team can review.
We review multifactor authentication, administrator access, device management, updates, and remote access. Joiner and leaver procedures need to cover shared accounts, external guests, and the applications each person can reach.
For covered institutions, the Regulation S-P amendments address incident response, customer information, and service-provider oversight. We help document systems, escalation contacts, technical response tasks, and recovery evidence for the firm’s program.
FINRA Rule 4511 connects required books and records to Exchange Act recordkeeping requirements. We review the systems that capture, preserve, and retrieve the records your compliance team identifies. See our Microsoft 365 and retention support.
We document important systems, dependencies, backup arrangements, and recovery tests. This technical work can support the firm’s business continuity plan under FINRA Rule 4370. Recovery priorities and responsibilities are agreed with your team.
We record the configuration, owner, review date, and outstanding issues for the controls in scope. Access reviews, change records, and recovery-test results give your team a clearer basis for follow-up.
Our security services and employee training also cover suspicious messages, account compromise, and approved use of workplace and AI tools.
Identify the providers that hold information or operate important systems. Record technical access, contacts, escalation arrangements, and evidence requests.
Walk through an agreed incident scenario with IT, management, and compliance. Record actions and gaps so the technical response can improve.
Assign the work needed to maintain controls after the initial review. We can work alongside your internal IT staff and specialist providers.
Staff accounts, documents, communications, and data-room access.
Review software, infrastructure, dependencies, and handover requirements.
Plan identity, email, files, applications, and ongoing support.
Describe the systems, review, or operational concern. An engineer will respond within one business day.
Describe the work here. We arrange confidential document sharing and technical access separately.