CyberSecure for Financial Services

Robust cybersecurity tailored to the stringent standards of the financial sector in Kansas City.

Safeguarding Financial Data in a Digital World

The financial services sector handles some of the most sensitive information, requiring top-notch cybersecurity. Onsite Logic’s CyberSecure program aligns with the rigorous standards set by the SEC and the FTC’s Safeguards Rule, ensuring you remain compliant and secure.

Integrating Holistic Cybersecurity Standards
with the SEC and FTC Guidelines

The Securities and Exchange Commission (SEC) and the Federal Trade Commission’s Safeguards Rule emphasize the critical nature of cybersecurity for financial institutions and services.

Considering the recent directive by Paul Munter, Chief Accountant at the SEC, there is a renewed emphasis on the importance of a comprehensive risk assessment approach that looks beyond isolated incidents and incorporates broader entity-level issues impacting financial reporting and internal controls (specifically including items such as a data breach in a system not part of internal control over financial reporting).

At Onsite Logic, we champion these principles, ensuring that sensitive financial data remains in trusted hands, supported by a robust infrastructure that addresses both the minute details and the broader spectrum of risks.

SEC Cybersecurity Guidance

FTC Safeguards Rule

Aligning with Regulatory Expectations

Navigating the regulatory landscape of financial services can be challenging. CyberSecure simplifies this journey by addressing each requirement set by regulatory bodies. We offer a comprehensive solution that ensures you’re not just compliant but also protected against evolving threats.
  • FINRA Rule 3110: Firms must establish written supervisory procedures for electronic communications to detect and prevent potential cybersecurity threats.
  • FINRA Rule 4511: Firms must make and preserve records of electronic communications as required under the FINRA rules.
  • SEC Regulation SCI: Certain market participants must establish written policies and procedures to ensure the security and reliability of their automated systems, including measures to protect against unauthorized access and other security breaches.
  • SEC Rule 240.17a-4(f): Broker-dealers must maintain records in a format and manner that ensures their accuracy, reliability, and accessibility.
  • FINRA Rule 4370: Firms must establish and maintain a business continuity plan to ensure that critical business functions can continue in the event of a significant business disruption, including cybersecurity incidents.
  • SEC Regulation S-P: Covered entities must adopt written policies and procedures to safeguard the privacy of customer information, including non-public personal information, in the event of a disaster or other business continuity issue.
  • FINRA Rule 3110: Firms must establish and maintain a supervisory system, including written supervisory procedures, that is reasonably designed to achieve compliance with applicable securities laws and regulations and FINRA rules, and that addresses the supervision of all business activities of the firm.
  • FINRA Rule 3120: Firms must establish, maintain, and enforce written supervisory procedures to supervise the types of business in which they engage and the activities of their associated persons that are reasonably designed to achieve compliance with applicable securities laws and regulations and FINRA rules.
  • SEC Rule 240.17a-4(f): Broker-dealers must make and keep records, including electronic records, that accurately reflect their compliance with applicable laws and regulations, including cybersecurity-related regulations.
  • SEC Regulation S-P: Covered entities must adopt written policies and procedures to safeguard the privacy of customer information, including non-public personal information, and to comply with applicable privacy and data protection regulations.
  • SEC Regulation S-ID: Covered entities must develop and implement identity theft prevention programs to detect, prevent, and mitigate identity theft.
  • SEC Regulation S-P: Covered entities must adopt written policies and procedures to safeguard the privacy of customer information, including non-public personal information, including measures to protect against unauthorized access to customer accounts.
  • SEC Rule 248.1-100: Covered entities must establish and maintain administrative, technical, and physical safeguards to protect sensitive customer information.
  • FINRA Rule 3110: Firms must establish written supervisory procedures for electronic communications, including training to employees on how to detect and prevent potential cybersecurity threats.
  • SEC Regulation S-P: Covered entities must provide privacy and data security training to employees, and must ensure that employees understand their obligations under applicable privacy and data protection regulations.
  • SEC Regulation S-ID: Covered entities must provide training to employees on how to detect and prevent identity theft.

The Choice of Financial Leaders

Hear from leading financial professionals and institutions that have fortified their cybersecurity with CyberSecure.
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Dive Deeper into Financial Cybersecurity

Understanding the intricacies of financial cybersecurity is essential. Here are some critical resources on the guidelines from the SEC and the FTC’s Safeguards Rule: