IT compliance
IT Compliance Services for Financial Firms
Technical safeguards, documentation and ongoing support that help your firm meet SEC, FINRA, FTC Safeguards Rule, NYDFS and other cybersecurity requirements.
Compliance and IT
Compliance starts with how your IT is run
Financial regulators increasingly spell out the cybersecurity controls they expect, and examiners ask for proof. Policies alone are not enough: your systems have to be configured, monitored and documented in a way that matches what your written program says. FinFortify Inc. provides regulatory compliance reporting and consulting alongside our managed IT services and managed cybersecurity services, so the controls are in place and the evidence is ready.
We work with your chief compliance officer, compliance team or outside counsel. They own your compliance program; we make sure the technology side of it is real, tested and documented.
Regulations
Regulations and frameworks we support
SEC Regulation S-P
The amended rule requires broker-dealers, investment advisers, investment companies and transfer agents to keep an incident response program, notify affected individuals no later than 30 days after discovering unauthorized access to sensitive customer information, and oversee service providers, who must report breaches to them within 72 hours. Larger firms had to comply by December 3, 2025 and smaller firms by June 3, 2026.
FINRA
Member firms must maintain a business continuity plan under Rule 4370 and protect customer records and information. Examiners regularly review cybersecurity practices such as access management, vendor oversight and phishing defenses.
FTC Safeguards Rule (GLBA)
Tax preparers, mortgage brokers and lenders and many other non-bank financial institutions need a written information security program with a qualified individual, risk assessments, multi-factor authentication, encryption, and either continuous monitoring or annual penetration testing with vulnerability scans every six months. Breaches involving 500 or more consumers must be reported to the FTC within 30 days.
NYDFS Part 500
Banks, insurers, agencies and other firms licensed by the New York State Department of Financial Services must meet the amended cybersecurity regulation, including multi-factor authentication for all users, an asset inventory, an annual compliance filing and 72-hour incident notification.
FFIEC and bank regulators
Banks are examined against FFIEC IT guidance and must notify their primary federal regulator within 36 hours of a significant computer-security incident. With the FFIEC Cybersecurity Assessment Tool retired in August 2025, many banks now measure their programs against the NIST Cybersecurity Framework 2.0.
NCUA
Federally insured credit unions must maintain an information security program under NCUA Part 748 and report reportable cyber incidents to the NCUA within 72 hours.
IRS requirements for tax professionals
Tax and accounting firms are covered by the FTC Safeguards Rule, and the IRS expects every paid preparer to keep a written information security plan. IRS Publication 4557 and Publication 5708 describe what the plan should cover.
State insurance data security laws
Many states have adopted the NAIC Insurance Data Security Model Law, which requires licensees to maintain an information security program and report cybersecurity events to the state insurance commissioner, generally within 72 hours.
SEC cybersecurity disclosure
Public companies must disclose material cybersecurity incidents on Form 8-K within four business days of determining materiality and describe their cybersecurity risk management in annual reports.
SOC 2 and vendor due diligence
Clients, partners and investors increasingly send security questionnaires and ask about SOC 2. We help you implement and document the controls they look for.
Cyber insurance requirements
Carriers now require controls such as multi-factor authentication, endpoint detection and response, tested backups and security training before they write or renew a policy.
How it works
How our IT compliance services work
Step 1
Gap assessment
We compare your current IT controls with the rules that apply to your firm and list the gaps in priority order.
Step 2
Remediation
We put missing safeguards in place, such as multi-factor authentication, encryption, logging, tested backups and device management.
Step 3
Documentation
We help prepare the technical sections of your written information security program, incident response playbooks and asset inventory.
Step 4
Ongoing evidence
Through managed IT and security, we keep records of patching, backups, access changes and incidents ready for exams, audits and renewals.
Safeguards
Technical safeguards we put in place
- Multi-factor authentication and conditional access
- Encryption of devices, email and data in transit and at rest
- Endpoint detection and response and extended detection and response
- Email security and message encryption
- Vulnerability management and patch management
- Insider threat monitoring and logging with Microsoft Sentinel
- Backup, disaster recovery and business continuity planning
- Security awareness training and phishing simulations
- Prompt onboarding and offboarding of user access
- CIS benchmark hardening and asset inventory
FinFortify provides IT, cybersecurity and compliance support services, not legal advice. Your compliance officer or counsel should confirm how each rule applies to your firm.
FAQ
IT compliance questions
Can an IT provider make my firm compliant?
No IT provider can make a firm compliant on its own, because compliance also depends on your policies, supervision and governance. We implement and document the technical safeguards regulators expect and support your compliance team with the evidence they need.
What IT controls does the amended Regulation S-P require?
The amended rule requires written policies and procedures that include an incident response program to detect, respond to and recover from unauthorized access to customer information, notification to affected individuals within 30 days and oversight of service providers. In practice that relies on controls such as multi-factor authentication, encryption, logging, monitoring and tested backups.
Do accounting firms need a written information security plan?
Yes. Tax and accounting firms are covered by the FTC Safeguards Rule, and the IRS expects tax professionals to keep a written information security plan. We help firms put the required safeguards in place and document them.
Can you help us prepare for a SOC 2 audit?
We help you implement and document the IT controls SOC 2 auditors test, such as access control, change management, monitoring, backups and incident response. The SOC 2 report itself is issued by an independent CPA firm.
Get your IT ready for the next exam
Talk with us about a compliance gap assessment for your firm.
