Your Cyber Insurance Renewal Got More Expensive.
The Questionnaire Got Longer.
Investment advisors, broker-dealers, and family offices face SEC, FINRA, and cyber insurance requirements in an environment where a security incident or compliance failure has consequences that go well beyond the incident itself. TechWise delivers security and managed IT for financial services companies with compliance architecture built for regulated financial operations.
● Microsoft Solutions Partner, Security
● SOC II Type II certified
● SEC · FINRA · Cyber insurance readiness
● Regulated financial operations experience
What We Hear
Four Compliance Gaps That Show Up
in Every Financial Services Engagement.
Financial services firms have specific compliance obligations that most IT partners aren’t equipped to address. The problems are consistent across firm types, investment advisors, broker-dealers, and family offices face variations of the same underlying gaps.
Investment Advisors & RIAs
SEC Cybersecurity Rules Have Changed. Most Firms Aren’t Ready.
The SEC’s cybersecurity disclosure rules require registered investment advisors to maintain written cybersecurity policies, conduct annual reviews, and report material incidents. Most RIAs have documented policies that don’t reflect their actual security controls. When an SEC examination arrives, that gap is expensive to close under pressure.
Broker-Dealers
FINRA Expects Written Supervisory Procedures That Actually Work.
FINRA-regulated broker-dealers need written supervisory procedures for technology and cybersecurity that match how the firm actually operates. Most firms have procedures that were written once and never updated. When a FINRA examination surfaces a gap between procedure and practice, the remediation is disruptive and costly.
Family Offices
The Data You Protect Is Irreplaceable.
Family offices manage highly sensitive personal financial data, estate planning information, and investment records for clients who expect confidentiality above all else. A security incident in a family office environment is not just a data breach. It is a fundamental breach of the trust relationship. IT and security infrastructure has to be built for that standard.
All Financial Services Firms
Cyber Insurance Requirements Keep Getting Harder to Meet.
Cyber insurance underwriters have significantly tightened requirements for financial services firms, multi-factor authentication across all users, documented endpoint protection, tested incident response plans, and vulnerability scanning. Most firms are behind on at least one requirement. TechWise works backward from what the underwriter requires and builds or activates the controls that satisfy it.
SEC & FINRA Context
SEC and FINRA Don’t Audit Policies.
They Audit Whether Your Controls Match Them.
Financial services firms don’t need a generic IT partner who has read the SEC cybersecurity rules. They need a partner who has implemented the controls those rules require, access controls, audit trails, documented incident response, and annual review processes that hold up to examination. TechWise builds compliance as architecture, not documentation. The controls exist because the systems are configured correctly, not because a policy binder says they should be.
Services
One Partner. Six Practices.
All Six Configured for Regulated Financial Operations.
TechWise serves financial services firms across security, managed IT, and where applicable, ERP. Security and compliance is the primary entry point for most financial services firms. Managed IT follows. ERP applies to financial services companies that need back-office financial management infrastructure.
Security & Compliance
SEC, FINRA, and Cyber Insurance Requirements Met.
Written cybersecurity policies that reflect actual controls. Access controls and audit trails built for SEC examination. FINRA supervisory procedure alignment. Cyber insurance documentation. Annual review processes that satisfy regulator expectations.
See Security Services →
Managed IT
IT Infrastructure Built for a Regulated Environment.
Full-service managed IT for financial services firms, with specific experience managing IT environments under SEC and FINRA requirements. Endpoint management, access controls, audit trail maintenance, and compliance documentation as part of the managed service.
See Managed IT →
ERP & Business Central
Back-Office Financial Management That Scales.
Business Central for financial services companies that need multi-entity financial management, project accounting, and reporting infrastructure. Configured with the access controls and audit trails that regulated financial operations require.
See ERP Services →
Microsoft 365
FINRA Recordkeeping Requires Specific M365 Configuration.
FINRA Rule 17a-4 requires electronic recordkeeping of business communications, including email and Teams messages. Microsoft 365 configured for FINRA compliance includes message archiving, retention policies, and audit trail documentation. TechWise configures this as a compliance control, not an IT project.
See Microsoft 365 Services →
AI Governance
SEC and FINRA Are Already Asking About AI.
SEC examination teams are asking about AI usage policies. FINRA guidance on AI supervision is expanding. Financial services firms activating AI tools without governance policies face examination risk. TechWise builds the AI governance framework before the examiner asks for it.
See AI Security Services →
Microsoft Licensing
SEC and FINRA Compliance Features Require the Right Licensing Tier.
The Microsoft 365 features required for FINRA recordkeeping and SEC examination readiness, including Advanced Audit, Compliance Manager, and Purview, are E3 and E5 features. TechWise reviews the current licensing position before recommending any compliance configuration work.
See Licensing Services →
Tell Us What’s Broken.
We’ll Tell You How to Fix It.
Every managed engagement starts with a free assessment of your environment: no scope surprises. Tell us what’s broken, what’s keeping you up at night, or what you’re trying to build. We’ll tell you exactly what it takes and which model fits.