IT That Keeps Your Firm Audit-Ready
Serving financial advisors, CPA firms, and financial services companies across Columbus, GA, Phenix City, AL, LaGrange, and Harris County — protecting client data, meeting regulatory requirements, and defending against fraud.
Challenges We Solve
The IT and security problems that keep professionals in your industry up at night.
GLBA & Regulatory Compliance
The Gramm-Leach-Bliley Act requires financial services firms to implement a written information security program. FINRA, SEC, and state regulators add further requirements. We implement the technical controls and documentation your compliance program demands.
Wire Fraud & Business Email Compromise
Financial firms are the top target for BEC attacks — fraudulent wire instructions that can drain client accounts in minutes. We deploy email authentication (DMARC/DKIM/SPF), advanced phishing protection, and staff training to stop these attacks before they succeed.
Client Financial Data Protection
Your clients trust you with their most sensitive financial information. A breach doesn't just trigger regulatory penalties — it ends client relationships. We protect data at rest and in transit with encryption, access controls, and continuous monitoring.
Audit Trail & Record Retention
Regulators require financial firms to maintain specific records for defined retention periods and produce them on demand. We configure your systems to meet retention requirements and maintain the audit logs that satisfy examiner requests.
Secure Remote Access for Advisors
Advisors and accountants work from client offices, home, and on the road. We deploy MFA-protected remote access that keeps client data secure regardless of where your team connects — without slowing them down.
Software & Integration Security
Financial planning software, tax platforms, and portfolio management systems handle your most sensitive data. We secure and support these applications and their integrations with your broader IT environment.
Regulatory Frameworks We Address
Financial services firms and accounting practices operate under some of the most demanding regulatory frameworks in any industry. The FTC’s updated Safeguards Rule, FINRA’s cybersecurity examination focus, and SEC guidance on cybersecurity risk management all place concrete obligations on firms of every size — including small independent advisors and regional accounting practices. CUPSolutions helps you meet those obligations without drowning in complexity.
The Regulatory Landscape
GLBA & FTC Safeguards Rule
The Gramm-Leach-Bliley Act requires financial institutions to implement a written information security program with administrative, technical, and physical safeguards. The FTC’s updated Safeguards Rule (effective 2023) added specific requirements including:
- Designating a qualified individual to oversee the information security program
- Conducting a written risk assessment
- Implementing multi-factor authentication for any system with customer financial data
- Encrypting customer information in transit and at rest
- Monitoring and testing the effectiveness of key controls
We implement all of these and maintain the documentation your compliance officer needs to demonstrate adherence.
FINRA & SEC Examinations
FINRA’s cybersecurity examination program specifically looks for risk assessment documentation, vendor management procedures, incident response plans, and employee training records. SEC exams increasingly focus on cybersecurity as a priority area. We help you prepare for examinations — and ensure your IT program can withstand scrutiny.
Financial Software We Support
- Financial Planning: eMoney Advisor, MoneyGuidePro, RightCapital, NaviPlan
- Portfolio Management: Orion, Tamarac, Black Diamond, Envestnet
- Tax & Accounting: ProConnect, UltraTax, Lacerte, Drake Tax, QuickBooks, Sage Intacct
- CRM: Salesforce Financial Services Cloud, Redtail, Wealthbox
- Document Management: LaserFiche, iManage, SharePoint (configured for compliance)
How We Protect Your Firm
Email Security & BEC Prevention
Business email compromise is the single largest financial fraud vector. We deploy DMARC, DKIM, and SPF authentication, advanced anti-phishing filters, and impersonation detection to block fraudulent emails before they reach your staff.
Multi-Factor Authentication
Every system that touches client financial data requires MFA. We deploy and manage MFA across your entire environment — including remote access, email, financial platforms, and cloud applications.
Data Loss Prevention
We monitor for unusual data movement — large file downloads, unauthorized external transfers, access from unfamiliar locations — and alert immediately when anomalies occur.
Encrypted Backup & Recovery
Client financial records are backed up continuously, encrypted, and stored off-site. Retention schedules are configured to meet your regulatory requirements, and records are retrievable on demand for examiner requests.
Incident Response
In the event of a breach or fraud attempt, we help you contain the incident, assess scope, notify the appropriate regulators within required timeframes, and document your response for examination purposes.
Schedule a Compliance Readiness Review
We'll assess your current IT environment against GLBA and applicable regulatory requirements — no cost, no obligation.
Get Started