Financial Services Technology Solutions

Financial Services

Technology & Compliance Solutions for Financial Firms

The financial services industry faces unique technology challenges: stringent regulatory requirements, constant SEC and FINRA examinations, investor due diligence demands, and the need for bulletproof security. Pylon Technology has spent 17+ years mastering these challenges.

Industry Challenges We Solve

SEC & FINRA Compliance

  • Rule 17a-4 recordkeeping requirements
  • Cybersecurity disclosure obligations
  • Reg S-P privacy and safeguards
  • FINRA Rule 4511 books and records
  • Annual compliance certifications

Investor Due Diligence

  • Institutional investor technology reviews
  • Third-party security assessments
  • Infrastructure documentation requests
  • Cybersecurity questionnaires
  • Operational due diligence support

Operational Resilience

  • Business continuity requirements
  • Disaster recovery mandates
  • System redundancy needs
  • Data backup and recovery
  • Incident response planning

Our Solutions for Financial Services

SEC-Compliant Infrastructure

Email Archiving & Retention

  • SEC Rule 17a-4 compliant archiving
  • Tamper-proof storage
  • Litigation hold capabilities
  • eDiscovery support
  • Searchable archives

Document Management

  • Secure document storage
  • Version control and audit trails
  • Retention policy enforcement
  • Client privilege protection
  • Regulatory-ready retrieval

Communication Security

  • Encrypted email and messaging
  • Secure file transfer
  • Mobile device management
  • Remote access security
  • Client portal solutions

Cybersecurity for Financial Firms

Threat Protection

  • Advanced endpoint security
  • Network intrusion prevention
  • Email security and filtering
  • Ransomware protection
  • Dark web monitoring

Access Controls

  • Multi-factor authentication (MFA)
  • Role-based access control
  • Privileged access management
  • Session monitoring
  • Access logging and reporting

Vulnerability Management

  • Quarterly vulnerability scans
  • Penetration testing
  • Security patch management
  • Risk assessments
  • Remediation planning

Compliance Documentation

Policies & Procedures

  • Written Information Security Policy
  • Incident Response Plan
  • Business Continuity Plan
  • Disaster Recovery Plan
  • Vendor Management Policy
  • Change Management procedures

Compliance Reporting

  • Annual cybersecurity reviews
  • Risk assessments
  • Compliance certifications
  • Board reporting packages
  • Regulatory exam support

Investor Due Diligence Support

Documentation Preparation

  • Technology infrastructure overview
  • Security architecture diagrams
  • Compliance certifications
  • Disaster recovery documentation
  • Incident history reports

Due Diligence Participation

  • Questionnaire responses
  • Technical interviews
  • Site visit coordination
  • Follow-up documentation
  • Ongoing updates

Regulatory Frameworks We Support

SEC Regulations

  • Investment Advisers Act Rule 206(4)-7
  • Regulation S-P (Privacy)
  • Regulation S-ID (Identity Theft)
  • Rule 17a-4 (Recordkeeping)
  • Cybersecurity Risk Alerts

FINRA Requirements

  • Rule 4511 (Books and Records)
  • Rule 3110 (Supervision)
  • Cybersecurity requirements
  • Business continuity planning
  • Technology change management

SOX Compliance

  • IT general controls (ITGC)
  • Change management
  • Access controls
  • Backup and recovery
  • Audit trails

Client Success: Financial Services

Investment Advisers

  • RIAs managing $500M to $5B+ in AUM
  • Multi-family offices
  • Hedge fund managers
  • Private equity firms

Broker-Dealers

  • Independent broker-dealers
  • Clearing firms
  • Introducing brokers
  • Correspondent relationships

Banking & Lending

  • Community banks
  • Specialty lenders
  • Fintech companies
  • Payment processors

Why Financial Firms Choose Pylon

SEC Liaison Experience

Tim Quinn, our CTO, serves as the technology liaison for client SEC examinations, providing expert representation and examination support.

Due Diligence Expertise

We regularly participate in institutional investor due diligence processes, understanding exactly what investors need to see and how to present it.

Regulatory Track Record

17+ years supporting clients through successful SEC examinations, FINRA audits, and investor due diligence without technology-related deficiencies.

Proactive Compliance

We monitor regulatory changes and proactively prepare clients for new requirements before they become urgent.

Protect Your Financial Firm

Schedule a Free Compliance Assessment designed specifically for financial services.

Call: (203) 930-3410 Email: info@pylontechnology.com