Financial Services Cybersecurity
SEC cybersecurity rule compliance and security architecture built for RIAs and broker-dealers — not generic IT checklists. Penetration testing, incident response planning, and regulatory documentation from a team that understands the difference between compliance theater and real security.
Regulatory mandate
SEC Cybersecurity Rule Context
The SEC's cybersecurity rules require registered investment advisors and broker-dealers to adopt written cybersecurity policies, establish incident response procedures, and conduct annual reviews of their security programs. This is not optional — it is a regulatory mandate with real deadlines and enforcement risk.
Rule 206(4)-9 under the Investment Advisers Act and Regulation S-P amendments impose specific obligations on RIAs: written information security policies, documented incident response plans, annual reviews, and board-level reporting on material cybersecurity events. Firms that fail to implement these controls face enforcement actions, remediation orders, and potential civil penalties.
Non-compliance is not a technical risk — it is a business risk. Most managed service providers sell generic checklists designed for general businesses, not financial services firms subject to SEC oversight. SSG builds cybersecurity programs that satisfy regulators when they walk in for an examination, not just paper policies that look good in a compliance manual.
What we deliver
Our Services
SEC Cybersecurity Rule Compliance
Written information security policies tailored to RIA and broker-dealer operations, incident response procedures aligned with regulatory reporting obligations, annual cybersecurity review frameworks, and board/CCO reporting templates that satisfy SEC examination standards.
Penetration Testing & Vulnerability Assessment
External and internal penetration testing conducted by certified security engineers, web application security testing for client portals and trading platforms, social engineering assessments and phishing simulations, and detailed remediation guidance with retesting validation.
Incident Response Planning
Incident response plan development aligned with SEC reporting requirements, tabletop exercises and breach simulations to test response protocols, breach notification procedures for clients and regulators, and regulatory reporting protocols for Form ADV amendments and SAR filings.
Security Architecture & Design
Zero-trust network architecture for remote advisor access and custodian integrations, cloud security posture management for AWS, Azure, and GCP environments, identity and access management with multi-factor authentication, and data encryption and key management for client PII and portfolio data.
The problem with generic MSPs
Why Generic MSPs Fail
Most managed service providers offer cookie-cutter security checklists designed for general businesses. They do not understand SEC Rule 206(4)-9, FINRA cybersecurity requirements, or the specific threat landscape facing firms that custody client assets.
Generic MSPs will sell you antivirus subscriptions, backup solutions, and quarterly vulnerability scans — but they cannot tell you how to document a material cybersecurity incident for Form ADV Part 2A, how to structure an incident response plan that satisfies SEC examination staff, or how to implement access controls that meet the technical requirements of Regulation S-P.
SSG builds cybersecurity programs that satisfy regulators, not just auditors. We understand the difference between compliance documentation that survives an SEC exam and security theater that collapses under scrutiny. That difference matters when the examiner is sitting across from your Chief Compliance Officer asking for evidence of your annual review.
Our commitment to security
SOC 2 Type II Certified
We do not just advise on security standards; we meet them. SSG is SOC 2 Type II certified — the same audit framework we help our clients achieve.
SOC 2 Type II certification requires independent third-party verification of security controls over a sustained period, covering access controls, encryption, change management, incident response, and monitoring. It is not a self-assessment or checklist — it is an audited attestation of operational security maturity.
When we design security architecture, incident response procedures, or compliance documentation for RIA clients, we are applying the same frameworks we use internally and defend in our own audits. That operational credibility matters when you need security advice you can trust.
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Ready to secure your firm?
Whether you need SEC cybersecurity rule compliance documentation, penetration testing for your client portal, or a full security architecture review — we bring the same rigor we apply to our own SOC 2 Type II certified operations. No generic checklists. No cookie-cutter policies. Just security programs built for the regulatory and operational requirements of RIAs and broker-dealers.