IT Solutions for Financial Services — Leadway Technology

Financial Services IT Solutions

Your Client Assets. Your Regulatory Exposure. Our Compliance.

SEC Regulation S-P is mandatory. GLBA safeguards are non-negotiable. Enterprise IT security built for financial services — backed by a Memphis specialist.

Schedule Your Free Compliance Assessment
The Risk

Financial Firms Face Unique IT Risks

Your systems are compliance infrastructure. A breach triggers SEC investigations, notification deadlines, and potential business loss.

SEC Reg S-P Pressure

48 hours to report a breach. Most firms lack detection or response procedures. Missing the deadline is negligence.

GLBA Safeguards Rule

Written cybersecurity programs, vendor risk management, documented controls required. Fines up to $100K/day.

Client Data Exposure

Unencrypted email, shared drives, no access controls — a compliance violation and liability risk.

$6.08M
avg breach cost in financial services
48hrs
SEC notification deadline
$100K/day
GLBA non-compliance fines
50%
of advisors lack IR procedures
Our Solution

Compliance-Built IT for Financial Services

Written policies, vendor risk assessments, breach notification readiness — not just firewalls.

Written Cybersecurity Policies

Data classification, access controls, IR procedures, vendor management, and breach notification protocols.

48-Hour IR Readiness

Written IR plan, detection procedures, tested readiness. 1-hour response when incidents occur.

Vendor Risk Management

Assess custodians, clearing firms, and vendors. Documented assessments as GLBA and SEC require.

Monitored Infrastructure

24/7 monitoring. Early threat detection so incidents are caught in hours, not months.

Email Security

Phishing protection, encryption, and audit trails for compliance investigations.

Access Controls

Role-based access. Advisors see client info, operations handles billing, compliance monitors all. Audit logs track everything.

Compliance

Regulations We Navigate

SEC Regulation S-P

Protect nonpublic personal information. Administrative, technical, and physical safeguards. 48-hour breach readiness.

GLBA Safeguards Rule

Comprehensive cybersecurity program with qualified oversight and regular risk assessments.

FINRA Rules

Cybersecurity standards, anti-phishing protocols, and incident reporting integrated into your compliance framework.

TN TIPA & 45-Day Notice

Tennessee data protection and breach notification alongside federal SEC/GLBA obligations.

Pricing

IT Support for Your Advisory Firm

All tiers include 24/7 monitoring and 1-hour response for business-critical requests.

Essential IT

5–10 staff

$1,500/mo
  • 10 hrs/month support
  • Servers, firewalls, backups
  • Email & endpoint protection
  • 1-hour incident response
  • Quarterly security reviews
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Professional

10–20 staff

$2,750/mo
  • 20 hrs/month support
  • Everything in Essential
  • Advanced encryption
  • MFA management
  • Vendor risk framework
  • Written IR & breach notification
  • Annual SEC S-P assessment
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Compliance Pro

15–30 staff

$4,000/mo
  • Unlimited support
  • Everything in Professional
  • Written cybersecurity program
  • Vendor risk management
  • Annual pen testing
  • SEC & GLBA certification
  • 48-hour breach response drills
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FAQ

Common Questions

Do SEC and GLBA apply to small advisory firms?
Yes. SEC Reg S-P applies to all advisors managing client assets. GLBA applies to all financial institutions. Size means proportionate controls, not exemption.
Our custodian handles security. Enough?
Your vendors handle their security; you’re responsible for assessing theirs. SEC S-P and GLBA require documented vendor risk management.
We have cyber insurance. Is that enough?
Insurance pays after the fact. It doesn’t prevent breaches, meet SEC/GLBA requirements, or stop regulatory fines. Compliance IT prevents incidents.
What happens if we’re breached?
We respond within 1 hour. Isolate systems, assess exposure, and help meet the 48-hour SEC notification deadline.
Compliance IT cost vs. breach cost?
Compliance Pro: $48K/year. Average financial services breach: $6.08M. GLBA fines: $100K/day. The math is clear.

Schedule Your Free Compliance Assessment

30 minutes, no obligation. We’ll identify SEC/GLBA gaps and show you what compliance-ready looks like.