Financial services
Breach timelines and signed records for regulated financial firms.
Security built for regulated
financial firms
Protecting customer information includes being able to explain how it was accessed and what happened during an incident. Connected activity records and documented decisions give examiners and internal reviewers evidence they can follow.
Regulators
| Region | Regulation | Supporting capability |
|---|---|---|
| United States | Reg S-P | A dated case shows when the firm became aware. → |
| SEC Rule 17a-4 | Signed, chained logs and a standalone verifier. → | |
| FINRA 3110 | Outbound email checked before sending. → | |
| FTC Safeguards Rule | User activity is logged and scored. → | |
| European Union | DORA detection | An alert if a source goes silent, plus near-hourly baselines. → |
| DORA reporting | A case timeline from detection onward. → | |
| United Kingdom | FCA SYSC 9 | Orderly records, signed and verifiable. → |
| FCA PS26/2 | Logs of each third-party connection. → |
Reg S-P
Regulation S-P response and notice decisions depend on what the firm learned and when. Keep a dated history of the discovery, investigation and decisions so reporting does not depend on reconstructing events from memory.
SEC 17a-4
Examiners need usable records and a way to establish their integrity. Signed logs from a SIEM can support a security investigation, while the firm’s required recordkeeping, audit-trail or WORM storage and retention arrangements address SEC Rule 17a-4 separately.
FINRA 2026 report
Customer information can leave through routine correspondence as well as deliberate misuse. Content inspection by a DLP can apply the firm’s email policy before release, with exceptions and review decisions recorded.
Trading logs
Trading-platform, MetaTrader and identity records can provide different parts of the same activity history. Bringing available order, execution and sign-in events together helps investigators examine suspected account misuse.
Insider risk
AI Detection can bring unusual access to customer information to an analyst’s attention. The evidence should show the activity, its historical context and any legitimate explanation considered.
By rule
United States FINRA 3110
Supervise associated persons, including review of correspondence. DLP checks outbound email and records what it stopped.
United States FTC Safeguards Rule
Monitor and log the activity of authorized users (16 CFR 314.4(c)(8)). a SIEM logs user activity, with a risk score per user.
European Union DORA detection
Detect anomalous activity promptly (Article 10). a SIEM alerts when a log source stops, and behavioral detection flags unusual behavior.
European Union DORA reporting
Report major ICT incidents, with an initial notice within 4 hours of classification and no later than 24 hours after becoming aware. An a SIEM case keeps the timeline.
United Kingdom FCA SYSC 9
Keep orderly records of the firm’s business and internal organization. A SIEM can sign collected logs.
United Kingdom FCA PS26/2
From March 18, 2027, report operational incidents and material third-party arrangements. a SIEM logs each connection to a third party.
Questions
Is trading activity in the record?
It can be when the platform makes suitable logs or audit records available. Review MetaTrader, order, execution and FIX sources against the investigation needs before confirming coverage.
Who approves an action?
The organization defines who may approve each response. A SOAR workflow presents the decision to that person and retains the approval, action and outcome.
What do we need to provide?
Begin with the required source records and the proposed hosting environment. Hardware sizing follows retention, data volume and the selected analytical workload.
What stays with the firm?
The firm owns regulatory notices, required business recordkeeping and trade surveillance. Security monitoring contributes activity evidence and a history of incident decisions.
Guide
What is Regulation S-P?
Regulation S-P governs customer information safeguards and privacy for covered securities firms. Its incident-response requirements make a reliable record of discovery, assessment and notice decisions especially useful.
What does SEC Rule 17a-4 require for records?
17a-4 sets retention of three or six years depending on the record, the first two years easily accessible. Electronic records need a complete time-stamped audit trail or non-rewriteable storage.
What does FINRA expect for cybersecurity?
FINRA addresses risks including account takeover, insider misuse and third-party access. A useful security program connects preventive controls with monitoring, investigation and documented response.
How ARRTECH takes care of financial services security
Connects security activity into a signed record, giving incident decisions and board reporting evidence that can be independently verified.
Protects intellectual property and customer trust, with content-aware controls that let organizations adopt AI on their own terms.
Expands response capacity through automation, with defined human authority and a record of who approved what.
Finds changes in behavior that predefined rules miss, connecting the signs of an attack so teams can understand what warrants action.
Investigates alerts, tests explanations and prepares the evidence, giving analysts more capacity while people retain authority over the response.
