Your Clients' Portfolios AreOne Wire Fraud AwayFrom Zero
The SEC's new Cybersecurity Rule (effective December 2023) requires registered firms to disclose material breaches within 4 business days. Are you ready for that call to clients?
Wire fraud. Account takeovers. Ransomware. Regulatory sanctions. Financial firms face the most sophisticated, financially motivated attackers on the planet — and regulators watching every step.
⚠️ SEC now requires breach disclosure within 4 business days — are you ready?
The 3 Threats That CanDestroy Your Financial Services
These aren't hypothetical scenarios. They're happening to financial services firms across America every single day.
Client Account Takeover & Wire Fraud
Business Email Compromise targeting financial firms redirects wire transfers, changes account beneficiaries, and drains client accounts — often before anyone notices. Once the wire clears, recovery is nearly impossible.
SEC / FINRA Regulatory Action
The SEC's new rule requires RIAs and broker-dealers to disclose material breaches within 4 business days, maintain written cybersecurity policies, and conduct annual risk assessments. Failure means enforcement, fines, and registration revocation.
Client Trust Destruction
Wealth management and investment relationships are built on trust. A single breach — even one with minimal financial loss — can trigger mass client departures, AUM outflows, and reputational damage that takes years to recover from.
8 Regulatory Failures Examiners Find in Financial Firms
Check how many of these your organization has right now.
No written, SEC/FINRA-compliant cybersecurity policy in place
Email systems without advanced threat protection and link sandboxing
No multi-factor authentication on CRM, portfolio management, or email
Client portal with weak password policy and no session timeout
Advisor personal devices accessing firm systems without MDM enrollment
No documented vendor risk management for third-party fintech integrations
Incident response plan that hasn't been tested or updated in 2+ years
Audit logs not reviewed — insider threat activity going undetected
How many did you check?
Even one of these can bring your financial services to its knees. Most have 4 or more.
Financial Services Cybersecurity Intelligence
Deep-dive reports every compliance officer needs to read
The SEC's New Cybersecurity Rule: What RIAs Must Do Right Now
4-day disclosure, annual risk assessments, and what examiners will check
$287,000 in 90 Seconds: How BEC Wire Fraud Works
Anatomy of the financial firm's most expensive attack
FINRA's Cybersecurity Checklist: Are You Actually Compliant?
The 12 controls broker-dealers are consistently failing
The Insider Threat: When Your Own Advisor Is the Risk
34% of financial breaches start from within the firm
Client Portal Security: The Overlooked Attack Surface
Why most financial portals fail basic security tests
Crypto & Digital Assets: New Attack Surfaces for Financial Firms
How digital asset custody creates novel cybersecurity risks
Do You Really Know What'sGoing On With Your IT?
Most compliance officers assume their IT is fine — until a breach proves otherwise.
Do you have a written, current cybersecurity policy that meets SEC/FINRA requirements?
If a material breach occurred today, could you notify the SEC within 4 business days?
Are all advisor devices — including personal phones used for client contact — enrolled in MDM?
When a client requests a wire transfer by email, what verification steps prevent fraud?
Has your incident response plan been tested with a tabletop exercise in the last 12 months?
Do you review audit logs to detect unusual account access or data exports by staff?
Don't Wait Until After the Breach
Schedule a free, no-obligation IT security assessment for your financial services. We'll show you exactly where you're vulnerable — before an attacker does.
No commitment. No sales pressure. Just clarity on where you stand.