SEC and FINRA cybersecurity requirements for registered investment advisors and broker-dealers
IT Services for Finance Firms in Florida
Financial organizations handle some of the most sensitive data in any industry — and they operate under some of the most demanding regulatory frameworks. A breach or compliance failure in a finance firm is not just an IT problem. It is a liability event, a reputational crisis, and potentially a regulatory action. ProSource delivers IT and cybersecurity built around the specific requirements of financial services organizations.
The Technology Demands of Financial Services
Data encryption and access control for client financial records
Email archiving, retention, and e-discovery capabilities
Business continuity planning for trading and client-facing operations
Multi-factor authentication and identity governance
Third-party vendor risk management
Cyber insurance readiness and documentation
What ProSource Delivers for Finance
SEC/FINRA-Aligned IT Infrastructure
We design and manage IT environments that satisfy the cybersecurity requirements of SEC Rule 30 (Regulation S-P), FINRA guidance, and related standards — including access controls, audit logging, encryption, and incident response planning.
Email Security and Archiving
Financial firms are required to retain and produce electronic communications for regulatory purposes. We implement compliant email archiving, retention policies, and e-discovery capabilities alongside robust email security to block phishing and business email compromise.
Client Data Protection
Protecting client financial data requires layered security controls: encrypted storage, privileged access management, endpoint protection, and network segmentation. We implement and manage these controls as part of your managed IT environment.
Business Continuity for Financial Operations
Trading, client service, and advisory operations cannot tolerate extended downtime. Our BCDR services are designed around the specific RTO/RPO requirements of financial firms — with tested recovery procedures and immutable backups.
Schedule a Financial IT Review
Let us assess your current environment against the compliance requirements your firm faces
No obligation. No sales pitch. Just an honest picture of where your firm stands. ProSource has been protecting Central Florida businesses since 2006.