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FINRA fines jumped up 43% in 2020 compared to 2019 with the agency fining non-compliant organizations $57 million. Let us help you comply with the FINRA compliance framework.

 

Cybersecurity Compliance Asssessment

What is FINRA?

Making sure your organization is fully compliant with FINRA is critical for your business success and cybersecurity protection. The Financial Industry Regulatory Authority (FINRA) is a government-authorized not-for-profit organization that oversees U.S. broker-dealers. As FINRA enforcement tightens and the SEC adopts new rules to prevent broker conflicts, firms must ensure they are keeping up with these latest trends and ensure they stay compliant. Contact us to begin your FINRA assessment today.

FINRA



Our FINRA Compliance Approach

Security Posture

STEP 1:

UNDERSTAND YOUR SECURITY POSTURE

For every FINRA client we take on, we begin with a full-scope security review to ascertain what you have, what you need, and where we need to help. This enables us to cost-effectively help you build out the technology and processes you need to be compliant while improving the efficiency of your business.

STEP 2:

IMPLEMENT SECURITY CONTROLS

In this step we begin filling in your security gaps with easy-to-use, high performance tools that not only help you comply but also help keep your organization safe. We aim to help you meet every applicable security control to make your FINRA Audit a breeze.

Security Controls
Documentation Cybersecurity

STEP 3:

DOCUMENTATION 

Complying with Federal Cybersecurity Requirements is all about extensive documentation. We will document every applicable control to ensure you have the resources you need for your FINRA audit. 

OUR PROCESS
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Updates in Real Time

Throughout the review, gap assessment, implementation, and documentation process we keep you updated in real time. Our world class experts make sure that you know where your security is and where it's going every step of the way.

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Fully Managed Solutions

If you are looking for a fully managed FINRA compliance solution look no further. We will take you from initial assessment to audit and continue to help you manage your cybersecurity program and FINRA compliance on an ongoing basis.

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Extreme Experience

Our CISOs and security engineers have decades of experience building fully functional cybersecurity programs for some of the world's biggest companies and government agencies. You're in good hands.

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Audit Support

We provide continuous support to all FINRA compliance customers, even during their audit. We are happy to interact directly with your auditor and answer any outstanding questions they have regarding your cybersecurity program.

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Utilize Your Existing Technology

Many security vendors try to sell you overpriced tools that you don't need. We work with your existing tech stack as much as possible to reduce waste and make FINRA compliance cost-efficient

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Full Documentation

Remediation Strategy, Vulnerability Management Plan, and Cybersecurity Roadmap. Rest easy knowing that you'll have what you need.

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FINRA COMPLIANCE MADE EASY

We make meeting your FINRA compliance objectives a breeze. Contact us for a FINRA consultation.
Request Compliance Assessment

SIMPLE, EFFECTIVE & AFFORDABLE CYBERSECURITY SOLUTIONS TO ACCOMPLISH ZERO TRUST ARCHITECTURE

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