Industries
Financial firms face overlapping regulatory requirements from the SEC, FINRA, NY DFS, and their own investors. SBK works with hedge funds, PE firms, RIAs, broker-dealers, and family offices to meet cybersecurity obligations, pass vendor due diligence, and keep audit evidence current.
Your fund admin or LP is asking for SOC 2, but you have three people in IT (or zero). We scope the audit, write the policies, implement the controls, and manage the auditor relationship so you get the report without hiring a compliance team.
Rule 206(4)-9 requires written information security policies. FINRA expects documented incident response and business continuity plans. We build these programs from templates tested across dozens of financial firms, not from scratch.
Every new LP relationship triggers a technology questionnaire. The questions cover encryption, access controls, data retention, and disaster recovery. We maintain your evidence library so each questionnaire takes hours instead of weeks.
Regulators expect you to know where sensitive data lives, who can access it, and how it moves. Most firms have never classified their data. We run the inventory, tag the sensitive systems, and build the access matrix your auditor needs to see.
Vendor-neutral security assessments, penetration testing, and incident response planning, built to protect your business, not sell you products.
Learn moreNavigate complex regulatory requirements with expert guidance. We prepare you for audits and certifications without steering you toward unnecessary tooling.
Learn moreFractional CTO and CISO services that give you executive-level guidance at a fraction of the cost, with zero vendor conflicts of interest.
Learn moreBring your SOC 2 timeline, SEC questionnaire, or LP due diligence request. We will scope the work and tell you what is realistic.
