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What We’ve Learned in Providing IT Services for Organizations Dealing With FINRA

For companies doing business under the strict regulatory compliance laws of FINRA (Financial Industry Regulatory Authority), you need an IT company that can cover the many areas of FINRA expertise that are demanded. This includes Governance and Risk Assessment Standards, Access Rights and Controls, Data Loss Prevention, and other regions. We’re going to lay out for you here what we’ve learned as a leading IT services company for organizations dealing with FINRA.

What should a FINRA IT company be able to cover?

The current FINRA regulatory standards can make it a somewhat complicated thing to understand and negotiate. That’s why you need an IT services company like SSE Network Services that’s well-versed in FINRA IT assessment provisions including:

  • Governance and Risk Assessment Standards
  • Access Rights and Controls
  • Data Loss Prevention
  • Vendor Management
  • Training
  • Incident Response

And, each of those categories of FINRA awareness covers a lot of other information and IT strategy. Much of it concerns what the client needs to provide our IT company with to be able to provide FINRA compliance and other parts talk of what we’re bound to provide.

What are those other areas of FINRA compliance? 

Some of those important aspects of FINRA IT strategy and requirements from the client to the IT provider (to be made available on-site and in advance) include:

  • Identifying the Chief Information Security Officer (CISO)
  • Does your firm conduct periodic cyber-threat risk assessments (and at what periodicity)?
  • Identify your firm’s policies related to penetration testing frequency
  • Provide a copy of firm policies addressing the current protection of client/customer records
  • Establishing the access rights and the role of all employees on your network, and much more.

Why do we ask for so much information related to FINRA, both in-advance and on site, from our clients?

It’s a lot to ask for, yes, but it’s a lot to protect (your entire business livelihood). Through these FINRA guidelines and our related information requests, we become better equipped to keep you and your business operations running at the lowest risk possible of both cyber security infiltration/exfiltration and FINRA audit failure!

Will we work in close collaboration with our FINRA compliance clients?

Absolutely! We’ll work with you to make sure no FINRA violations or fines happen, through a methodical implementation of compliance-level IT solutions that work.

Are you ready for your FINRA compliance assessment?

If your brokerage firm or financial services firm is willing to get the FINRA compliance IT solutions you require, then let SSE Network Services bring you up to the level of FINRA audit-readiness and compliance-level network security!

To read more about how we keep St. Louis businesses in FINRA compliance, and what SSE Network Services can do for you, click on the previous link. For more questions and to secure our IT services that keep you FINRA audit-ready, call us at (314) 439-4700 or email us at sales@sseinc.com to get started!

  • 1835 Lackland Hill Parkway,
    St. Louis, MO 63146

  • (314) 439 - _ 4700

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