SEC Compliance
Why SEC Compliance Is Important for Financial Services Providers
- Investor Confidence
- Regulatory Mandates
- Market Stability
- Fraud Prevention
- Competitive Advantage
- Risk Mitigation
- Reputation Management
How Thrive Can Help
Thrive helps clients align with SEC (U.S. Securities and Exchange Commission) information and cybersecurity requirements by applying a defined framework, such as CIS or NIST, to SEC rules and regulations.
Thrive determines actionable steps tailored to each client’s individual business needs, leveraging our expertise to address all Baseline Controls Checklist items.
With deep experience in the Financial Services industry, Thrive provides custom solutions and dedicated support for clients, including Registered Investment Advisors (RIAs) like Private Equity, Hedge Funds, Wealth Management, and Family Offices. Our Service Delivery, Account, and Consulting teams specialize in addressing the unique challenges these firms face.
Note: Nothing herein shall constitute legal advice, compliance directives, or otherwise. Customers and prospective customers should consult an attorney and/or other compliance professional regarding their organizations’ compliance obligations, including, without limitation, the regulations described herein.
Thrive SEC Readiness Assessment
Registered Investment Advisors (RIAs) must comply with SEC regulatory requirements to avoid fines, penalties, lawsuits, and reputational damage. Thrive’s SEC Readiness Assessment helps firms determine their compliance status, identify risks, and create a strategic roadmap to address gaps and meet requirements.
Thrive offers comprehensive, tailored solutions to SEC regulated clients. Our integrated team ensures continuity and alignment across services post-assessment.
Key Deliverables Include:
- Executive summary of your security posture,
- Detailed register of findings with actionable recommendations, and
- Stakeholder discussions to review priorities.
Driving Better Business Outcomes
“Thrive’s knowledge of compliance, especially cybersecurity and privacy, gave us confidence that they could manage these complexities. Their specialized, single-source IT and security support keeps us on track with industry standards.”
Richard Manoogian
Managing Director, Chief Compliance Officer
Northeast Investment Management, Inc.
Recommended Baseline Controls for SEC Compliance
The SEC enforces Federal securities laws with the mission to protect investors and verify truth and fairness. The requirements evolve over time, and Thrive recommends consulting with our specialists to help ensure full and ongoing compliance.
Here’s a checklist to get started:
- Qualified Personnel
- Cybersecurity Policies and Procedures
- Defined Reporting Processes
- Acceptable Use Policy
- Risk Assessment Program
- Resiliency
- Data Governance
- Data Loss Prevention
- Asset Management
- Secure Remote Access
- Mobile Device Security
- Endpoint Security
- Network Security
- Security Monitoring
- Encryption
- Email Security
- Threat Intelligence
- Threat Detection and Management
- Third Party Risk Management
- Incident Response Planning
- Records Archiving
- Training
For more details on the Baseline Controls watch Thrive’s on-demand webinar Is Your Firm Ready? Preparing for the SEC’s Proposed Cybersecurity Rules.
SEC-Ready Managed Cybersecurity & IT Services
Thrive’s portfolio of integrated, Next-Generation services assist Financial Services with all of the Baseline Controls Checklist items above and includes:
- Cybersecurity Mesh Architecture (CSMA)
- Thrive SEC Readiness Assessment
- vCISO Advisory Services
- Managed NextGen Firewall and Unified Threat Management
- Managed Detection and Response
- Vulnerability Management and Advanced Patching
- End User and Workstation Security
- End User Cybersecurity Bundle
- Managed Cloud Services for Multi-Tenant, Private Cloud, and Public Cloud environments
- Disaster Recovery as a Service (DRaaS)
- Managed Microsoft 365 and Platform Services
Learn More About SEC Trends and Insights
Ready to Simplify Compliance? Let’s Talk.
Compliance Disclaimer
The information on this web page may not be construed or used as legal advice about the content, interpretation or application of any law, regulation or regulatory guideline. Customers and prospective customers must seek their own legal counsel to understand the applicability of any law or regulation on their use of Thrive services. Please also note that the relevant contract(s) between you and Thrive determine(s) the scope of services provided and the related legal terms and this page is provided for reference purposes only, and is not part of, and does not otherwise create or amend, any agreement, warranties, representations or other obligations between you and Thrive. Thrive disclaims any terms or statements contained herein that seek to impose legal or operational requirements on Thrive for the delivery of the services. Customers acknowledge that they remain solely responsible for meeting their legal and regulatory requirements. By accessing this content, customers and prospective customers acknowledge the information provided herein and/or any of the attachments accessible via this page shall strictly be considered as general commentary and nothing herein shall constitute legal advice or otherwise.