Financial Services CybersecuritySEC. FINRA. GLB. NY DFS.
BEC Defended. Client Data Secured.

The Gradius financial services cybersecurity program includes: SEC Reg S-P compliance — written policies, procedures, annual risk assessment, incident response documentation, and Form ADV disclosure support; FINRA cybersecurity program — required controls, Rule 4370 business continuity provisions, and electronic communications supervision documentation; GLB Act Safeguards Rule implementation — information security program, vendor management, employee training, and annual testing; NY DFS Part 500 controls for NY-licensed entities; BEC and wire fraud defense — DMARC/DKIM/SPF, advanced email security with financial services impersonation detection, MFA on all financial system access; client financial data protection — access controls, encryption, DLP; and breach notification coordination for SEC, FINRA, state laws, and cyber insurance. Flat-rate per user, all firm types covered.

The applicable regulations depend on your firm's registration and licensing. SEC-registered investment advisors are subject to Regulation S-P (safeguards for client records) and the SEC's 2023 cybersecurity rules (documented program, annual review, Form ADV disclosure, and incident reporting). FINRA-registered broker-dealers are subject to FINRA cybersecurity guidance and Rule 4370 (business continuity planning with technology provisions). All financial firms handling consumer financial information are subject to the GLB Act Safeguards Rule. Financial entities licensed by the New York Department of Financial Services are additionally subject to Part 500 (CISO designation, annual DFS certification, penetration testing, vulnerability scanning, and incident reporting). Mortgage companies, insurance firms, and other financial services businesses may have additional state-specific requirements. Gradius identifies all applicable frameworks based on the firm's specific registrations and licenses and builds the program around the complete applicable set.

Extremely serious — and specifically documented. The FBI's IC3 consistently identifies financial services as among the top BEC targets, with financial advisory and investment management among the specific subcategories most frequently attacked. The reason is the same logic that drives all targeted crime: financial services firms manage large wire transactions as a regular business activity, their client relationships involve established trust that makes fraudulent instructions more credible, and the combination of trusted relationship plus regular wire activity creates ideal BEC conditions. A single successful attack can redirect a client wire of six figures or more — and for an independent advisor or small firm, the combination of financial loss, regulatory reporting obligation, and client trust damage can be existential. Gradius implements the layered BEC defenses specifically designed for the financial services attack chain.

A cybersecurity incident at a financial services firm triggers a cascade of obligations with defined timelines. SEC-registered advisors must report material incidents under the 2023 cybersecurity disclosure rules — the materiality determination itself requires rapid assessment. FINRA requires incident reporting for registered broker-dealers. NY DFS Part 500 requires incident notification to DFS within 72 hours for covered entities. State data breach laws in NJ, NY, and CT are triggered when personal financial information is compromised. The cyber insurance carrier requires timely notice or risks coverage limitations. Client notification may be required depending on what data was affected. Managing all of these simultaneously while also managing the technical recovery requires both cybersecurity expertise and regulatory knowledge — Gradius provides both as part of the financial services cybersecurity program.

Core technical controls — EDR, email security with DMARC, MFA enforcement — are deployed within 1–2 weeks. Regulatory compliance documentation — written policies, initial risk assessment, incident response procedures — is developed over 30–60 days. For firms with pressing compliance timelines — an approaching SEC or FINRA examination, an annual ADV review period, a DFS certification deadline — Gradius prioritizes the regulatory documentation on an accelerated schedule while technical controls are deployed in parallel. Most financial services firms have a functionally compliant cybersecurity program within 60 days of engagement.

No long-term lock-ins. We offer month-to-month and annual agreements. Financial services firms stay with Gradius because the regulatory compliance documentation is maintained, BEC defenses are active, client data is protected, and the cybersecurity program is examination-ready without requiring a pre-exam scramble. We earn the renewal every month through performance.