Industries · Investment firms
IT and security for investment firms
Registered investment advisers, wealth managers and investment firms hold sensitive client financial data and answer to SEC privacy rules. HTL 365 secures your accounts and devices, helps document an incident response program, and retires old equipment with a certificate of destruction.
- MBE certifiedNMSDC
- i-SIGMA memberSecure data destruction
- CSDS-ledCertified Secure Destruction Specialist
- NIST SP 800-88 Rev. 2Aligned media sanitization
What you get
Protect client accounts
MFA, ITDR and email security to stop account takeover and fraudulent transfer requests.
Regulation S-P readiness
Written policies, incident response planning and vendor oversight documentation.
Exam-ready evidence
Records of patching, backups, training and access reviews when regulators ask.
Documented disposal
Secure destruction of retired devices, with serial-level certificates.
Find your gaps before an auditor does
A free IT & security assessment: we review your devices, Microsoft 365, backups and policies, then give you a plain-English action list.
Frequently asked questions
What does Regulation S-P require?
SEC Regulation S-P requires covered firms to protect customer information. Amendments adopted in 2024 add a written incident response program, notice to affected customers after certain breaches, and oversight of service providers.
Do you replace our compliance officer?
No. We work with your compliance team and provide the technical controls and documentation they need.
Related
Find your gaps before an auditor does
A free IT & security assessment: we review your devices, Microsoft 365, backups and policies, then give you a plain-English action list.