For RIAs, hedge funds, and broker-dealers
Financial Services IT
SEC, FINRA, and state-regulator-aligned IT and security for investment advisors, hedge funds, and broker-dealers — including books-and-records compliance and trading-system uptime.
The challenges
IT problems unique to this industry
Trading-system uptime
OMS, EMS, market data feeds — every minute of downtime is a missed trade.
Books and records
SEC 17a-4, FINRA 4511 — write-once-read-many archive for years.
Cybersecurity exam-ready
NY DFS Part 500, SEC Reg S-P, IAA Cybersecurity — controls on demand.
Communication retention
Email, IM, chat, voice — all archived in compliant WORM storage.
How we help
Our approach
- WORM-compliant email and electronic communications archiving
- OMS / EMS / portfolio management system administration
- Trade desk and trading-floor IT support
- SEC, FINRA, NY DFS Part 500 control alignment
- Annual cybersecurity examinations preparation
- Disaster recovery with sub-hour RTO for trading systems
- Vendor due diligence and SOC report review
INDUSTRY EXPERTISE
We speak your industry.
Our engineers have spent years inside organisations like yours. We know your regulators, your software vendors, and the unwritten operational rules that catch generalist IT shops off guard.
- Industry-specific compliance frameworks
- Vendor relationships with the platforms you actually use
- Documentation written in your language, not ours
- References available from peers in your sector
Industry-specific IT, done right
Talk to an engineer who has worked with companies like yours.