FINRA reviews a company’s approaches to cybersecurity risk management, including:
- Technology governance
- System change management
- Risk assessments
- Technical controls
- Incident response
- Vendor management
- Data loss prevention
- Staff training
At Elevate, we work with broker-dealers and registered investment advisors to ensure you have adequate controls in place to pass examinations and mitigate cybersecurity threats. We have a streamlined approach to performing the reviews and provide you with the advice and expertise to assist you.
For instance, we work with you to:
- Document and identify your PII and asset inventory
- Perform the gap analysis against the control requirements
- Document policies and procedures
- Provide training options
- Perform technical testing of your systems
- Serve as your expert in Cyber Security and IT compliance matters