FINRA Compliance Services
FINRA IT Compliance
Okay—you’re ready to outsource your information technology management and maintenance to 911 IT. Our services include every tech task you have imagined and many you haven’t. We monitor and maintain your network, servers, and hardware. We furnish all the technical support your firm requires. We’re a cost-effective solution when you don’t have the resources or expertise to manage your own IT infrastructure in-house.
It is necessary to ensure your IT systems are compliant with FINRA regulations. As a self-regulatory organization that oversees the conduct of firms and brokers in the securities industry, FINRA protects investors, and your business by ensuring everyone adheres to these regulations designed to prevent fraud and abuse. This includes having adequate controls in place to protect sensitive customer information, as well as maintaining accurate records of all financial transactions. You know that non-compliance with FINRA regulations results in significant fines and other penalties. It is our commitment to keep your tech and systems penalty-free.
911 IT qualifies your firm’s FINRA compliance requirements by implementing and maintaining appropriate controls and monitoring systems. This will include implementing measures such as security protocols to prevent unauthorized access to sensitive data, as well as backup and disaster recovery systems to ensure that financial records are not lost in the event of a system failure.
Shifting From Compliance to Culture
Beyond implementing technical controls, 911 IT assists with the development of policies and procedures to ensure compliance with FINRA regulations. This may include training your organization on proper security practices and furnishing guidance on how to handle sensitive customer information.
Benefits Of FINRA Compliance
911 IT is an invaluable resource for firms in the securities industry looking to ensure compliance with FINRA. By outsourcing the management and maintenance of your IT systems to 911 IT, your firm can focus on core business operations while meeting the necessary regulatory requirements with confidence.
Check out our FINRA IT Compliance Checklist
