A client saw the headline and wants to move everything to cash. She pulls up his full portfolio, the plan from March, every note from their last meeting. It all loads. She talks him off the ledge with the whole picture in front of her.
The CRM synced at 6 AM. The trading platform was patched Sunday night. That’s why.
Wealth management IT · SEC & FINRA compliance · cybersecurity due diligence · books-and-records retention · client data protection · Connecticut
We already know where it hurts
How the visit usually startsAn SEC exam letter with a cybersecurity section. A custodian’s due-diligence questionnaire. Or a client asking “is my data safe” — and deserving a better answer than “yes.”
A bad morning can’t mean a blank screen
When the market moves and the phone rings, your CRM, planning tools, and custodial platforms have to be there — all of them, right now.
You hold what people fear losing
Client PII and account access make your firm a target. One compromised inbox can authorize a wire that never comes back.
Regulators expect records
SEC and FINRA recordkeeping — including books-and-records retention — expects archived communications and controls you can produce on request.
The work behind the quiet
- —Identity hardening and MFA across email, CRM, and custodial access
- —Email security and managed detection tuned for impersonation and wire fraud
- —Archiving and retention aligned to SEC and FINRA recordkeeping
- —Secure remote access so client data never travels unprotected
- —Tested backups and documented recovery for the systems you trade on
- ✓Platforms synced and ready before the bell
- ✓Documented changes, evidence on request
- ✓A clear answer when a client asks “is my data safe”