SEC/FINRA

Beyond GLBA, the financial services industry is faced by a host of other regulations. Many are subject to oversight rules imposed by the Securities Exchange Commission (SEC) and the Financial Industry Regulatory Authority (FINRA).

Our team can help with the whole compliance life-cycle including:

  • Readiness reviews and quick look reviews
  • End-to-end gap analyses
  • Mock audits
  • Remediation services
  • Development and deployment of compliance dashboards and other compliance tools
  • Ongoing check-ups



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