DUE DILIGENCE AND
REGULATORY COMPLIANCE
COMPLIANCE MONITORING FINANCIAL SERVICES
ARE YOU PREPARED FOR A REGULATORY AUDIT?
ARE YOU READY FOR AN AUDIT?
When you’re a financial firm in NYC, you’ve got regulators to contend with. SEC, FINRA, NYS DFS: These entities demand complex compliance standards to protect you and your clients from data and personal information loss.
Many of those standards land squarely on the strength of your technology.
Don’t put your reputation (and your finances) on the line by failing in due diligence.
With compliance monitoring from KJ Technology you receive:
- Actionable protocols to address regulations from SEC, FINRA, NYSDFS and more
- Tools for cybersecurity procedures
- Incident Response Plan to help you identify and mitigate risks
- Documented processes for the protection of sensitive client information
- And more
THE BENEFITS OF
COMPLIANCE MONITORING
Regulatory bodies require that you execute due diligence in terms of compliance. Compliance monitoring from KJ Technology keeps your business on the right side of security and data management best practices.
Reduce Risk & Liability
Take the guesswork out of compliance. We’ll perform a risk assessment to ensure your organization complies with the latest regulations and policies specific to your industry, including SEC, FINRA and NYS DFS.
Information Security Policies
When it comes to regulatory compliance, one size does not fit all. With our consultative guidance and expertise on evolving information security policies, small companies have the resources of a larger partner without the big expense.
Incident Response Procedures
Documentation is key to effective incident response and reporting. That’s why we develop, document and test extensive procedures through phishing tests, DNS filtering, intrusion prevention, encryption and more.
DIRECTOR
WEALTH MANAGEMENT
SERVICES FIRM
“The KJ guys are always reachable and looking out for our best interests. They built us a smart, forward thinking IT infrastructure right from the start. With KJ’s all-inclusive Managed Service plan I don’t worry about IT issues or escalating IT costs.”
A COMPREHENSIVE COMPLIANCE
PROGRAM SUITED TO YOUR FIRM
The fact is that 90% of firms will receive compliance deficiency letters. Noncompliance can cause significant and detrimental problems to your business, considering the hefty fines and the reputational risk involved.
Contact KJ Technology today to see how compliance monitoring can help your business.
eBook
Everything You Need to Know About Compliance
It’s important then to be aware of how certain regulatory bodies approach regulation and how those regulations can affect your business when you don’t have the tools in place to give you 100 percent compliance.
Read our compliance eBook. It’s free – no strings attached.
ARE YOU PREPARED FOR A REGULATORY AUDIT?