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Case Studies

Investment Management Firm Complies with Federal Standards Utilizing Thrive’s NextGen Services.

Investment Management Firm Complies with Federal Standards Utilizing Thrive’s NextGen Services.
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SEC and FINRA standards require financial institutions to adhere to stringent data storage guidelines. Annually, the Financial Firm undergoes an internal infrastructure audit to ensure that its solutions are compliant with strict federal mandates. If new products or services are added to the Financial Firm’s compliance roadmap, it must fall within its IT budget.


Over many years, Thrive’s Financial Services division has worked closely with the Financial Firm’s IT & Communications Manager to produce comprehensive technical business plans. With awareness of the Financial Firm’s planned IT expenditure, these plans offer recommendations based on new compliance regulations and the demand of the client’s workload. Thrive’s Financial Services team provides solutions that meet compliance goals focused on maximizing high availability, security and performance. From the implementation of advanced Active Directory auditing capabilities with Thrive’s SIEM as a Service solution, the Financial Firm and Thrive have enabled the Financial Firm to work efficiently and securely within FINRA and SEC guidelines.


The integration of Thrive’s solutions in the Financial Firm’s infrastructure has optimized the business’ day to day operations to become more productive, efficient and secure. With the comprehensive understanding of the Financial Firm’s architecture as well as data governance regulations, Thrive’s Financial Services team has been able to provide forward-looking consultations, Cloud-based network and Cybersecurity management, and conscientious help desk support.

Financial Services

As the leading Managed IT Service Provider for financial firms, Thrive understands the liability that financial firms face daily. With increasingly rigorous standards set by the SEC, cybersecurity compliance can be difficult to navigate. The SEC’s Office of Compliance Inspections and Examinations (OCIE) Cybersecurity Examination Initiative is a stringent exam designed to test specific areas of cybersecurity within your firm.

At Thrive, we are IT experts with decades of experience managing security for the enterprise. We specialize in protecting the internet infrastructure, applications and Cloud platforms that power your business.

How can Thrive help your business?

Thrive is a leading provider of outsourced IT Infrastructure designed to drive successful business outcomes with our talented engineering teams and suite of Cloud-First, NextGen Managed Services.

To learn more about our services, CONTACT US