Security
you can prove.
Regulators now expect a written incident response program, vendor oversight, and client notice within 30 days of a breach. We build those programs, run the security behind them, and keep the documentation ready.
20 minutes. We'll tell you where you stand and whether we're a fit.
Who we work with
Firms that handle client financial data and answer to a regulator, an auditor, or a client's security questionnaire.
What changed
The SEC's amended Regulation S-P now applies to firms of every size. The bar moved from "have security" to "prove it."
To notify affected clients after a breach of their sensitive information.
For your vendors to tell you about a breach on their side.
To detect, respond to, and recover from an incident.
What we deliver
Start with a fixed-scope review. Keep us on to run the program, or take the roadmap and run it yourself.
Readiness review
Two to three weeks assessing your controls and documentation against Reg S-P.
- Gap report and prioritized roadmap
- Briefing for partners
- Policy and documentation review
- Fixed fee, no long-term commitment
Incident response program
A written plan your team can run, with roles and notification steps.
- Plan, playbooks, client notice templates
- Tabletop exercise with your team
- Escalation contacts: counsel, insurer, forensics
- Annual review and update
Vendor oversight
Every provider that touches client data, inventoried and risk-tiered.
- Vendor inventory and contract review
- Due-diligence questionnaires
- Breach-notice terms in your contracts
- Annual review cadence
vCISO & managed security
A named security lead, plus the protection running behind the program.
- Quarterly reporting and exam support
- 24/7 monitoring and response
- Client and custodian questionnaire support
- Security awareness training for staff
Why Frontline
We know how SEC and FINRA requirements translate into day-to-day security, and we've been in the room when an incident happens.
Hands-on experience helping firms meet and navigate SEC and FINRA security requirements.
Investigated and remediated real incidents at financial firms.
IT security experience across regulated industries.
Trusted leadership roles managing IT security for government agencies, including CJIS compliance under FBI audit.
Incident response, then a program that holds
A financial firm brought us in after a security incident. We ran the investigation, remediated the environment, and restored normal operations.
The technical fix is the easy part. A written plan and vendor records are what keep an incident from becoming a regulatory problem.
How it works
You'll know within one call whether we can help.
Readiness call
20 minutes on your firm and your obligations.
Review
We assess controls, documents and vendors.
Roadmap
A prioritized plan with costs and owners.
Run it
We run it with you, or hand it to your team.