SEC and IT security for financial services firms

The Securities and Exchange Commission (SEC) oversees companies that sell and trade securities and offer advice to investors. They require financial services firms to audit their cybersecurity practices to identify risks and provide evidence of security measures that protect the privacy of their investors’ data and reduce overall risk. These measures include access controls, cybersecurity awareness, disaster recovery planning, endpoint protection, and data encryption while in transit and in storage. To maintain investor confidence, financial services firms and their vendors and service providers must prevent cyber-attacks and minimize disruptions to normal business operations. Following SEC standards will ensure your financial services business fulfills these obligations.

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Components of the SEC's IT Security Standards

Adopt the SEC’s IT security standards
with our simple 3-step process:

Step 1

Gap Assessment

Before your business attempts to implement SEC standards, you should identify any issues that could lead you to fail. This critical step is called a Gap Assessment and is designed to determine the “gaps” or holes in your security posture and to show you how to fill them.

Charles IT can identify and address the vulnerabilities in your cybersecurity, so you can apply SEC standards and show your clients that you take data security seriously.

Step 2

Enlist our SEC IT Security Services

Backup and Disaster Recovery

Backup and Disaster Recovery

Critical to your document management and storage requirements

Dark Web Monitoring

Dark Web Monitoring

For notifications of credentials that have been made publicly available

Endpoint Encryption

Endpoint Encryption

Prevents classified information from being stolen or decrypted

External Vulnerability Scanning

External Vulnerability Scanning

Searches for any potential threats to your network from outside the organization

Multi-Factor Authentication

Multi-Factor Authentication

Protects your accounts from unauthorized access

SIEM

SIEM

Secures company infrastructure from attacks and remediates them quickly. SIEM also fulfills your breach notification requirements

Internal Vulnerability Scanning

Internal Vulnerability Scanning

Searches for any potential threats to your network from inside the organization

Penetration Testing Management

Penetration Testing Management

Simulates a cyber-attack to identify, test, and exploit existing vulnerabilities.

Managed Detection and Response (MDR)

MDR

Detects intrusions, malicious activity, and malware, and assists in incident response to remediate threats.
Step 3

Ongoing Data Management

Charles IT can give your business state-of-the-art access control systems, in order to:

What results to expect

Once we start working with clients to adopt the SEC cybersecurity standards, we’ve seen them enjoy…

Don't just take our word for it


It’s always a great feeling when you know that someone has your back. Thanks for the fast response time and professional service, Matt!
Lloyd B
20 Nov 2020

Charles IT are ALWAYS so responsive and helpful. Truly the best!
Marilena G
19 Nov 2020

Charles IT are always thinking of everything we’re not. They listen to our needs and they don’t just point out problems, they have solutions.
Joshua R
17 Nov 2020