Protect sensitive deal information, investor data, and fund operations. We help investment firms meet SEC requirements while securing the assets that matter most.
Schedule a ConsultationSEC
Compliance
Deal Room
Security
Investor
Data Protection
Wire Fraud
Prevention
The Investment Firm Challenge
Investment firms manage sensitive deal information and investor assets. Sophisticated threat actors target these firms for financial gain and competitive intelligence.
Investment strategies, position data, and M&A targets are high-value intelligence for attackers. A single breach can expose proprietary trading strategies and pending transactions to competitors or malicious actors.
Wire fraud targeting investment firms has resulted in millions in losses. Sophisticated attackers impersonate executives and manipulate wire transfer instructions through compromised email accounts.
Regulation S-P, Regulation S-ID, and new SEC cyber rules demand robust controls. Registered investment advisers must implement written cybersecurity policies and demonstrate ongoing compliance.
Fund administrators, prime brokers, and service providers extend your attack surface. Each vendor relationship creates potential access points that sophisticated attackers exploit to reach high-value targets.
Our Services
From SEC compliance assessments to wire fraud prevention, we help investment firms protect sensitive information and meet regulatory obligations.
Evaluate compliance with Regulation S-P, S-ID, and emerging cyber requirements. Gap analysis and remediation roadmaps aligned with regulatory expectations.
Protect virtual data rooms and sensitive transaction documents. Access controls, encryption, and monitoring for systems handling deal-critical information.
Implement verification procedures to prevent business email compromise fraud. Multi-factor authentication, callback verification, and staff training programs.
Secure LP/investor PII and prevent unauthorized access. Privacy controls, access management, and monitoring for systems containing investor information.
Assess security of fund administrators, custodians, and service providers. Vendor risk assessments and ongoing monitoring of critical third parties.
Develop response procedures that meet SEC disclosure requirements. Playbooks, communication templates, and tabletop exercises for investment firm scenarios.
We work with investment firms to build security programs that meet regulatory requirements while protecting the information that drives your business.
Common Questions
Answers to questions we frequently hear from investment firm principals and compliance officers.
Depending on your registration, Regulation S-P, S-ID, and the new cyber disclosure rules may apply. Registered investment advisers must implement written cybersecurity policies. We help you understand which requirements apply and how to demonstrate compliance.
We assess access controls, encryption, and monitoring for systems handling sensitive transactions. This includes virtual data room security, email protection for deal teams, and endpoint security for devices accessing confidential information.
Yes. We implement verification procedures and train staff to recognize BEC attempts. This includes multi-factor authentication for wire transfer approvals, callback verification procedures, and email security controls to detect impersonation.
Absolutely. We coordinate with CCOs and compliance teams to ensure our work supports regulatory obligations. Our assessments are designed to integrate with existing compliance programs and provide documentation suitable for regulatory review.
Schedule a confidential discussion about your firm's cybersecurity needs, SEC compliance requirements, or investor data protection concerns.
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