Financial advisory firms and service providers face rigorous regulatory requirements from the SEC, FINRA, and state regulators. Protecting client financial data, maintaining compliance with advertising rules, and ensuring audit readiness are critical to your practice.
Financial Services Compliance
- SEC Regulation S-P - Privacy of consumer financial information
- FINRA Rules - Cybersecurity and data protection requirements
- GLBA Compliance - Gramm-Leach-Bliley Act safeguards
- State Regulations - Individual state financial privacy laws
- Books and Records - Required retention of client communications and transactions
Financial Software We Audit
CRM & Portfolio Management
Redtail CRM
Wealthbox
Salesforce Financial Services
Black Diamond
Orion
Morningstar Office
Financial Planning Tools
eMoney
MoneyGuidePro
RightCapital
NaviPlan
What We Secure
- Client financial data and account information
- Trading platforms and portfolio management systems
- Email and client communication archives
- Document management and e-signature platforms
- Client portal security and two-factor authentication
Ready to Ensure Compliance?
Get started with a free assessment today