Wealth managers, RIAs, lenders, and insurance brokers — high-value targets carrying a heavy compliance burden and moving real money every day.
Wire transfers, ACH, and account access make financial firms a place attackers can turn a compromise straight into cash through fraud and account takeover.
SEC, FINRA, GLBA, state insurance regulators, and privacy laws each impose safeguards and notification duties — and examiners increasingly probe cybersecurity controls directly.
Account numbers, SSNs, and financial profiles are exactly what criminals want for fraud and identity theft, raising both the breach cost and the notification burden.
Requires written policies to safeguard customer records and information; 2024 amendments add incident-response program requirements and notification to affected individuals within 30 days of certain breaches.
Requires covered firms to maintain a program to detect, prevent, and mitigate identity theft in connection with covered accounts.
The Gramm-Leach-Bliley Act and the updated Safeguards Rule require a documented information security program with access controls, encryption, MFA, and vendor oversight.
FINRA expects reasonable supervisory and cybersecurity controls; many firms also pursue SOC 2 reports to evidence their controls to partners and clients.
Stolen or phished credentials let an attacker into client accounts or advisory platforms to move funds or steal data.
MFA everywhere, conditional access, dark web credential monitoring, and anomaly detection on logins.
An attacker impersonates a client or advisor to authorize a fraudulent wire — a loss that's difficult to reverse and a potential regulatory event.
Out-of-band verification of transfers, email authentication, and monitoring for malicious inbox rules.
Client financial records are encrypted or stolen, triggering Reg S-P notification duties and reputational harm.
EDR/MDR, immutable backups, encryption, DLP, and a tested incident-response plan.
MDR, MFA, and immutable backups defend the accounts and records that attackers monetize directly.
ExploreTested recovery and published RTOs keep an outage from becoming a client-service failure and a supervisory issue.
ExploreSegmentation, encryption, and Zero Trust implement GLBA / Safeguards Rule and Reg S-P technical requirements.
ExploreA named financial services engagement story is coming here — the inciting incident, the response, and the outcome.
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