Your Clients Trust You With Their Financial Future. Your Technology Has to Be Worthy of That Trust.
Financial services firms operate under a convergence of risk that few other industries face: regulatory scrutiny, high-value client data, and an increasingly sophisticated threat environment all at once.
GLBA, SOC 2, FTC Safeguards Rule, cyber insurance mandates — the compliance obligations facing financial advisors, RIAs, accounting firms, and wealth management practices have never been more demanding. TC³ helps financial services organizations meet every requirement while keeping operations running without disruption.
The Technology Risks That Keep Financial Professionals Up at Night
These aren’t hypothetical concerns. They’re the issues we address for financial services clients every week.
FTC Safeguards Rule Compliance
The updated FTC Safeguards Rule requires financial institutions to implement a comprehensive information security program, including encryption, multi-factor authentication, access controls, and annual penetration testing. Non-compliance carries significant regulatory and reputational risk.
Client Data as a High-Value Target
Financial records, Social Security numbers, account credentials, and investment portfolios make financial services firms among the most targeted by ransomware operators and data brokers. A breach in this industry rarely stays quiet.
Cyber Insurance Requirements Tightening
Carriers are requiring documented security controls, tested incident response plans, and verified backup procedures as conditions of coverage. Firms that can’t demonstrate these controls face exclusions, or denial at claim time.
What’s at Stake if Technology Fails
- Regulatory fines and mandatory client notification under Safeguards Rule
- Loss of client assets under management following a trust-destroying breach
- Cyber insurance claim denial due to undocumented controls
- Competitive loss as clients move to firms with demonstrable security posture
- Personal liability for principals and compliance officers
How TC³ Serves Financial Services Firms
TC³ combines TC³ Secure and TC³ Comply to deliver the layered security and compliance documentation that financial services organizations require, without the overhead of managing it internally. We understand the regulatory environment your clients operate in, and we build programs designed to satisfy auditors, satisfy carriers, and protect client trust.
What Financial Services Clients Achieve With TC³
These are the outcomes we deliver for financial services firms.
FTC Safeguards Rule Compliance
A documented, verified information security program that satisfies the updated Safeguards Rule requirements and withstands regulatory scrutiny.
Cyber Insurance Renewed at Favorable Terms
Documented controls and verified security posture give carriers confidence and give you leverage at renewal.
Client Data Protected at Every Layer
Encryption, MFA, EDR, and access controls protect client financial data from both external threats and insider risk.
Compliance You Can Demonstrate Immediately
When a client, auditor, or regulator asks about your security program, you have documentation ready, not a scramble.
Questions We Hear From Every Industry. Answered Directly.
Most IT companies avoid the hard questions. We don’t.
What Does the FTC Safeguards Rule Actually Require of My Firm?
The requirements vary by firm size and activity. We break down what the rule requires, what qualifies as a covered financial institution, and what an acceptable security program looks like.
How Do I Know If My Cyber Insurance Would Actually Pay Out After a Breach?
Most firms find out their coverage has gaps at the worst possible moment. We walk through the conditions that lead to claim denial and how to verify your posture before you need it.
Ready to Talk About Your Specific Situation?
Every industry has unique technology and compliance requirements. Every business has its own specific gaps. A 15-minute conversation is all it takes to understand yours.