Industries / Financial Services
Cybersecurity & compliance for Los Angeles RIAs and financial firms.
Financial firms are the most-attacked segment in cybersecurity and among the most heavily examined. Elevate Solutions implements Regulation S-P safeguards, stands up 17a-4-compliant archiving, and builds the incident-response and wire-fraud controls that protect client wealth data and your registration.
What you're up against
Reg S-P safeguards
The SEC's amended Regulation S-P brings a written information-security program and incident-notification duties to advisory firms of every size — a 15-person RIA carries the same obligations as a 500-person one.
17a-4 / WORM recordkeeping
Electronic communications have to be preserved in non-rewriteable, non-erasable (WORM) form for the required retention period, with the indexing and audit trail to back it up.
SEC & FINRA examination
Examiners ask for cybersecurity, supervision, and recordkeeping evidence. The program has to be owned by a named individual who can attest to it with confidence.
BEC & wire fraud
Financial firms are the most-targeted segment for business email compromise. A single spoofed instruction can move client funds before anyone notices.
Compliance & regulatory coverage
SEC Regulation S-P (amended Safeguards Rule) and Regulation S-ID, FINRA cybersecurity and supervision rules, SEC Rule 17a-4 recordkeeping, the Gramm-Leach-Bliley Act, and state financial-privacy statutes.
How we help
Reg S-P program
A written information-security program with a named owner, vendor due-diligence on every provider touching client data, and a tested breach-notification capability.
Compliant archiving
17a-4-compliant, WORM-backed email and communication archival — implemented and managed end to end, with the indexing examiners expect.
Advanced threat defense
Managed detection and response tuned with financial-sector threat intelligence, plus advanced email security to intercept BEC and invoice fraud.
Wire-fraud controls
Out-of-band verification workflows for any new or changed payment instruction, so a spoofed email never moves money on its own.
Common questions from financial leaders
Does Reg S-P apply to our 15-person RIA?
Yes. The amended Regulation S-P applies to all SEC-registered advisers regardless of headcount. A small firm has the same written-program and incident-notification obligations as a large one — just fewer staff to meet them, which is exactly where an MSP fits.
How do we retain emails for Rule 17a-4?
With immutable, WORM-backed archival. We implement and manage the archive end to end — capture, non-erasable storage for the required period, indexing, and the audit trail an examiner asks for.
Our team almost wired funds on a spoofed email — how do we stop that?
Add out-of-band verification: any new bank account or change to payment instructions requires a phone callback to a known, pre-verified number before funds move. We pair that control with advanced email security that flags impersonation and lookalike domains.
Talk to us about your firm
A free, no-pitch assessment of your Reg S-P posture and IT environment, with a clear action plan whether or not you work with us.
Main line: (888) 901-9686
Email: support@elevatesolutions.io