Financial Services
Security and compliance for RIAs & financial services
We protect your firm first — 24/7 breach prevention, ransomware defense, and data loss protection. Then we deliver the compliance evidence SEC, FINRA, and GLBA regulators expect to see. No duplicated effort across frameworks.
SEC Reg S-P deadline: June 2026 — Smaller RIAs must have a written incident response program in place. That's 9 weeks away.
What regulators require of financial firms
Financial services firms operate under some of the most demanding cybersecurity regulations in any industry. The SEC's Regulation S-P and Regulation S-ID, FINRA Rules 3110 and 4370, and the GLBA Safeguards Rule all impose specific requirements for protecting customer information and maintaining business continuity.
The SEC has made cybersecurity a top examination priority, and FINRA regularly cites cybersecurity deficiencies in enforcement actions. Non-compliance risks regulatory sanctions, fines, and loss of client trust.
Note: The SEC and FINRA have significantly increased cybersecurity examination and enforcement activity. Firms of all sizes are subject to review — there is no 'too small to matter' exception.
Key requirements
- Implement written information security policies and procedures
- Conduct regular risk assessments of customer information
- Deploy access controls, encryption, and multi-factor authentication
- Monitor systems for unauthorized access and suspicious activity
- Maintain business continuity and disaster recovery plans
- Manage vendor and third-party cybersecurity risks
- Provide cybersecurity training for all personnel
- Report cybersecurity incidents to regulators promptly
How we get your firm compliant
We don't just hand you a checklist. We build and manage the entire security and compliance program so it works year-round — during audit season and every other week of the year.
Regulatory Gap Analysis
Comprehensive assessment mapping your current controls against SEC, FINRA, GLBA, and PCI DSS requirements — with a prioritized remediation roadmap.
Written Security Program
Policies and procedures that satisfy multiple regulatory frameworks simultaneously, documented in language regulators expect to see.
Technical Controls
Endpoint protection, encrypted communications, MFA, network monitoring, and data loss prevention implemented and managed for your firm.
Examination Readiness
Audit-ready documentation, evidence collection, and mock examination preparation so you're confident when regulators come calling.
Employee Training
Cybersecurity awareness training covering phishing, social engineering, insider threats, and regulatory obligations specific to financial services.
Continuous Monitoring & Response
24/7 security monitoring, quarterly control testing, and incident response planning that meets regulatory notification requirements.
"We were preparing for an SEC examination and realized our cybersecurity documentation had significant gaps. LevoySec helped us build a comprehensive program in weeks, not months. The examiner had zero findings on cybersecurity."
Why financial firms choose LevoySec
Multi-framework expertise
We map controls across SEC, FINRA, GLBA, and PCI DSS requirements simultaneously — eliminating the redundant effort of managing each framework separately.
Examination ready
Our documentation and evidence collection are designed for regulatory examination. When the SEC or FINRA comes calling, you'll have everything they need.
Security + compliance together
Most firms need both technical security controls and regulatory compliance documentation. We deliver both as a single managed program — no juggling multiple vendors.
Financial technology awareness
From portfolio management systems to client portals and trading platforms, we understand the technology financial firms rely on and how to secure it.
Flat, predictable pricing
No hourly billing, no surprise invoices. You know exactly what security and compliance costs each month, making it easy to plan and budget.
Veteran-owned, remote-first
We serve financial firms across the US without geographic limitations. Veteran-owned and built on integrity — we say what we'll do and we do what we say.
RIA & Investment Advisory Compliance Add-On
$15/user/mo
Industry-specific compliance documentation and email archiving for RIAs and financial advisors.
- SEC Reg S-P written IR program
- Email archiving & retention
- Vendor oversight documentation
- Breach notification procedures (30-day requirement)
Get examination-ready before your next review
Book a 30-minute discovery call. We'll review your current compliance posture and outline exactly what your firm needs to satisfy SEC, FINRA, and GLBA requirements.