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We are a technology partner that understands SEC and FINRA guidelines to manage data securely.
Protect Your Financial Firm & Secure Your Future
As a financial services firm, it’s critical that you protect your clients’ data from cyber threats. It’s also your responsibility to meet complex compliance requirements. Navigating the new proposed SEC rules for Registered Investment Advisers (RIAs) and the updated FTC Safeguards Rule can be overwhelming.
State of the Market and the Risks You Face
Questions You Must be Able to Answer
Continuity & Proactive Security
We’ve structured our services to guard against both current and emerging threats – to ensure ongoing compliance with regulatory standards.
How we Protect Your Firm
| Help Desk |
| Infrastructure Management |
| Vendor Management |
| Patch Management |
| End Point Security |
| Cloud Security |
| Perimeter Security |
| Backup and Disaster Recovery |
| Business Continuity |
| Compliance Services |
| Cybersecurity Insurability |
| Risk Assessments |
| Security Awareness Training |
| 24/7 Security Operations Center |
The addition of a Virtual Chief Security Officer provides:
- Strategic Oversight: Engage in regular compliance reviews, IT security meetings, and executive leadership consultations.
- Risk Management: Conduct thorough risk assessments and engage in proactive threat management exercises.
- Policy and Compliance Management: Oversee policy procedure reviews and ensure compliance with relevant regulatory frameworks.
Achieve Compliance
Maintaining a complete understanding of compliance within the US financial services industry, we meticulously align our solutions with regulatory frameworks established by key authorities, including the SEC and FINRA.
| SEC/FINRA Requirement | ITSG Solution |
|---|---|
| SEC Regulation SCI: System integrity and availability | IT Infrastructure Management |
| SEC Proposed Rule for Cybersecurity Risk Assessments | Ongoing Risk Assessments |
| FINRA Rule 3110: Strong access control procedures | Identity and Password Management |
| SEC Regulation SCI: Proactive cybersecurity measures | Vulnerability Scanning |
| FINRA and SEC training requirements | Employee Security Awareness Training |
| FINRA Rule 4370: Business continuity plans | Backup and Disaster Recovery Management |
| FINRA Rule 3110 and 3120: Supervision and control of associates | Policy Development and Compliance |
| FINRA Rule 4511 and SEC Rule 240.17a-4(f): Recordkeeping | Archiving Solutions |
| SEC Regulation S-P Protecting Customer Information | Data Loss Prevention |
| FINRA Rule 4511: Recordkeeping in Exchange Act Rule 17a-41 | Security Operations Center, Monitoring, and Threat Management |
Financial Services Total Secure Plan
Our comprehensive package of I.T. services is designed to simplify this process for you, covering all aspects of cybersecurity and compliance for your firm. Whether you are an RIA, broker-dealer, hedge fund, private equity, or any other type of financial services firm, we have the expertise and experience to help you achieve your goals.
Simple. Reliable. Secure. Compliant.
ITSG Stand out among Managed Services Providers by offering integrated Compliance and vCIO services. Our compliance services align both with IT Industry best practices and Life Sciences industry requirements. Our vCIO services ensure your IT Systems are integrated with your business, making all IT decisions congruent with your plan and budget.
About ITSG
ITSG is a Philadelphia area Managed Services Provider with a specialty in the financial services industry. We have been helping small and medium-sized businesses get the most out of their IT Systems since 1987. We focus on providing the financial services industry with simple, reliable, secure, and compliant systems.
Let’s Get Your Firm in Compliance.
Protect Your Business & Secure Your Future
As a financial services firm, it’s critical that you protect your clients’ data from cyber threats. It’s also your responsibility to meet complex compliance requirements. Navigating the new proposed SEC rules for Registered Investment Advisers (RIAs) and the updated FTC Safeguards Rule can be overwhelming.
If you would like to discuss your situation in detail to see if we can help give us a call at 484-443-4000 or fill out this form and we will reach out to you.
