SEC and FINRA cybersecurity requirements for registered investment advisors and broker-dealers
IT Services for Finance Firms with SEC and FINRA-Aligned Security
Financial organizations handle some of the most sensitive data in any industry — and they operate under some of the most demanding regulatory frameworks. A breach or compliance failure in a finance firm is not just an IT problem. It is a liability event, a reputational crisis, and potentially a regulatory action. ProSource delivers IT and cybersecurity built around the specific requirements of financial services organizations. We are based in Oviedo, Florida, with offices in Orlando and Melbourne, and we have supported organizations in this sector since 2006.
The Technology Demands of Financial Services
Financial firms are one of several regulated sectors we work in — see how managed IT drives results across Orlando's top industries.
Data encryption and access control for client financial records
Email archiving, retention, and e-discovery capabilities
Business continuity planning for trading and client-facing operations
Multi-factor authentication and identity governance
Third-party vendor risk management
Cyber insurance readiness and documentation
What ProSource Delivers for Finance
SEC/FINRA-Aligned IT Infrastructure
We design and manage IT environments that satisfy the cybersecurity requirements of SEC Rule 30 (Regulation S-P), FINRA guidance, and related standards — including access controls, audit logging, encryption, and incident response planning.
Email Security and Archiving
Financial firms are required to retain and produce electronic communications for regulatory purposes. We implement compliant email archiving, retention policies, and e-discovery capabilities alongside robust email security to block phishing and business email compromise.
Client Data Protection
Protecting client financial data requires layered security controls: encrypted storage, privileged access management, endpoint protection, and network segmentation. We implement and manage these controls as part of your managed IT environment.
Business Continuity for Financial Operations
Trading, client service, and advisory operations cannot tolerate extended downtime. Our BCDR services are designed around the specific RTO/RPO requirements of financial firms — with tested recovery procedures and immutable backups.
FAQ
What IT services do financial firms need?
Secure client data handling, dependable uptime, protected communications, and technology that satisfies regulators and auditors. Our IT services give finance firms all of it with predictable costs.
Can ProSource help with financial industry compliance?
Yes. We support the technical controls behind frameworks like PCI DSS and other financial regulations, working alongside your compliance officers through our Compliance as a Service offering.
How do you protect client financial data?
With layered managed security: access controls, encryption, endpoint and email protection, continuous monitoring, and security awareness training for staff — the areas where most financial-sector breaches start.
Do you support remote and hybrid work for finance teams?
Yes. We design secure remote access, identity protection, and device management so your team works from anywhere without exposing client data.
Schedule a Financial IT Review
Let us assess your current environment against the compliance requirements your firm faces
No obligation. No sales pitch. Just an honest picture of where your firm stands. ProSource has been doing this since 2006, from our offices in Oviedo, Orlando and Melbourne.