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NYDFS Part 500 and the SEC Don't Care How Small Your Firm Is

If you manage money, the regulators expect a named cybersecurity program, multi-factor authentication, encryption, access controls, and the ability to report an incident on a clock. That covers registered investment advisers, hedge and private-equity shops, family offices, broker-dealers, and property and asset managers, whether you run a desk in the New York Metro area or a back office in the Puget Sound Area.

SEC and FINRA recordkeeping and cybersecurity expectations apply nationwide, and if you operate in New York, NYDFS Part 500 (23 NYCRR 500) adds its own requirements on top. We build your IT so that when an examiner or auditor asks, the controls are already running and the evidence is ready to hand over.

Here's the thing most firms miss: the regulatory risk is rarely in the trades themselves. It's in the IT underneath them. Where client data lives, who can reach it, whether access is logged, how fast you'd know about a breach, and whether you can prove any of it. Compliance is a data and infrastructure problem before it's a paperwork problem, and that's the part we own.

Lock Down Client Data Before Someone Else Finds It

Financial firms hold exactly what attackers want: account numbers, positions, and personal records. NYDFS Part 500 and SEC cybersecurity expectations both turn on controlling and monitoring that data. Our managed security and detection service covers MFA, encryption, access controls, and round-the-clock monitoring, so a stray login or an unusual data pull gets caught and answered while it still matters.

The Evidence the Examiner Asks For, Already in Hand

Examiners and auditors don't just want to hear that controls exist. They want documentation: who has access, when it was reviewed, how incidents are handled, what your security program actually says. Our compliance and cyber-insurance readiness work assembles that evidence as your environment runs, so an SEC, FINRA, or NYDFS document request becomes a file you pull on request. The same evidence satisfies cyber-insurance underwriters.

Trading, Settlement, and Client Portals That Stay Up

An outage during market hours isn't an inconvenience for a money manager; it's lost trades, missed settlements, and clients who can't see their accounts. We keep the systems behind your desk, your operations, and your investor portals running, and our backup and recovery service means that if something fails, you're back to a known-good state fast, with recordkeeping intact for the auditors.

Grow AUM Without Growing Your IT Headache

Adding assets, opening a second office, or bringing on analysts shouldn't mean rebuilding your technology from scratch each time. We help you add capacity without adding infrastructure staff, so a firm in the New York Metro area or the Puget Sound Area can take on more clients and more people while the IT and the compliance posture scale with you.

One Team for the Whole Stack, on a Contractual Clock

From desktop support to the production systems your firm runs on, one team handles it, and we'll support your in-house people or replace the function entirely. You work against a contractual SLA: a 60-minute standard response, 30 minutes on premium. And through our IT strategy and vCIO service, you get an exam-readiness roadmap that keeps your controls ahead of the next regulatory cycle. Want the full picture of what we run? See our managed IT and network services.

Years Behind the Desks of Money Managers

We've spent years running the technology for asset and money-management firms, the kind of work that doesn't tolerate a down trading system or a failed audit. That experience is why we lead with the regulation and map it onto security, recovery, and the team from the start.

Find Out How Exam-Ready You Actually Are

We'll run a no-cost security and compliance review of your environment and show you where SEC, FINRA, and NYDFS Part 500 would find gaps, before an examiner does.

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