Staff Identities and Devices
We review multifactor authentication, administrator access, device management, updates, and remote access. When employees join or leave, we review their application access, including shared accounts and external guests.
Cybersecurity and Compliance Technology for Broker-Dealers
We help investment banking firms turn security requirements into working controls. Our engineers review staff access, devices, customer information, communications systems, and recovery arrangements.
Access & devices
Customer information
Records & retention
Recovery planning
Connect Policies to the Systems Staff Use
Your compliance officer and legal advisers establish the requirements that apply to the firm. We review your technology, set up the security controls you need, and document how they work.
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.
Your Security Program
Customer Information and Incident Response
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.
Communications and Required Records
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.
Business Continuity and Recovery
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. We agree with your team on what to recover first and who will handle each step.
Evidence You Can Review and Maintain
We document your security controls, who manages them, and what needs attention. Your team can track access reviews, system changes, and recovery tests.
Our security services and employee training also cover suspicious messages, account compromise, and approved use of workplace and AI tools.
Service Providers
Identify the providers that hold information or operate important systems. Record technical access, contacts, escalation arrangements, and evidence requests.
Response Exercises
Practice responding to an incident with your IT, management, and compliance teams. Review the results to improve your response.
Ongoing Support
Assign the work needed to maintain controls after the initial review. We can work alongside your internal IT staff and specialist providers.
Related Investment Banking Services
Microsoft 365 and Deal Collaboration
Staff accounts, documents, communications, and data-room access.
Technical Due Diligence
Review software, infrastructure, dependencies, and handover requirements.
Post-Merger IT Integration
Plan identity, email, files, applications, and ongoing support.
Tell Us About Your Firm’s Security Work
Describe the systems, review, or operational concern. An engineer will respond within one business day.
- Staff access, devices, and customer information
- Records, service providers, and evidence
- Incident response and recovery arrangements
Describe the work here. We arrange confidential document sharing and technical access separately.
Talk to an engineer
A 30-minute conversation with an engineer about what you need and next steps.
Times shown in Eastern Time
Available dates will appear here.
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