Resources
IT and Compliance Guides for Financial Firms
Practical guides from FinFortify on managed IT, cybersecurity and the regulations that shape how financial firms run their technology.
Guides
Guides for financial firms
Regulation S-P Compliance Checklist
The IT controls and records advisers and broker-dealers need for the amended SEC Regulation S-P.
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WISP Guide for Accounting and Tax Firms
What a written information security plan must include under the FTC Safeguards Rule and IRS guidance.
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What Managed IT Services Cost
Pricing models, price drivers, hidden costs and how to compare managed IT quotes for a financial firm.
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NYDFS Part 500 Compliance Checklist
The IT controls, notices and annual filing New York-regulated banks, insurers and agencies need under 23 NYCRR Part 500.
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Managed IT vs. In-House IT
How outsourcing and hiring compare for a financial firm on coverage, security, compliance and cost.
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Cyber Insurance Requirements Checklist
The security controls carriers ask about before they write or renew a cyber policy, and how to answer accurately.
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Microsoft 365 Security Checklist
The Microsoft 365 settings that protect client email and files at a financial firm.
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FINRA Business Continuity Plan Requirements
The 10 elements FINRA Rule 4370 requires in a broker-dealer business continuity plan, and the IT behind each one.
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Wire Fraud Prevention for Financial Firms
How to stop business email compromise and fraudulent wire requests, and what to do if money has been sent.
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Put these guides to work at your firm
Each guide explains what the rules and best practices expect. Turning them into working controls is where most firms need help. Our IT compliance services and managed IT services for financial firms put the safeguards in place and keep the evidence ready for exams, audits and insurance renewals.
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