Security built for regulated
financial firms
Hand the examiner a case report and a signed export they can check.
Regulators
| Region | Regulation | Supporting capability |
|---|---|---|
| United States | Reg S-P | A case records when you became aware. → |
| SEC Rule 17a-4 | A signed, chained record with a standalone verifier. → | |
| FINRA 3110 | Outbound mail is inspected before Send. → | |
| FTC Safeguards Rule | User activity is logged and scored. → | |
| European Union | DORA detection | Log source alerts and behavioral detection. → |
| 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
Prove when you became aware of a breach
Under the amended Reg S-P, you must notify affected customers within 30 days of becoming aware of a breach of their data. In ARRTECH SIEM, every alert opens a dated case, so the date you became aware is on the record.
SEC 17a-4
Keep records examiners can verify
Rule 17a-4 lets you keep electronic records with a complete time-stamped audit trail or in non-rewriteable form. ARRTECH signs every log and exports it with a verification tool, so FINRA or the SEC can check it. ARRTECH SIEM is not a WORM archive.
FINRA 2026 report
Stop customer data leaving by email
FINRA’s 2026 oversight report tells firms to scan outbound email and attachments for customer data. ARRTECH DLP checks email before it is sent, file uploads and prompts to AI tools.
Trading logs
Monitor trading platforms and MetaTrader
When an account is taken over, the trading record and the sign-in record tell one story. ARRTECH SIEM collects trading platforms, including MetaTrader, and puts their activity beside sign-in and email logs in one timeline.
Insider risk
Catch insiders paid by attackers
In May 2025, Coinbase disclosed that criminals had paid overseas support staff to take customer data. Cyberdroid AI Detection flags staff and contractors acting unlike their own history and shows why.
By rule
United States FINRA 3110
Supervise associated persons, including review of correspondence. ARRTECH DLP checks outbound email before it is sent and records what it stopped.
United States FTC Safeguards Rule
Monitor and log the activity of authorized users (16 CFR 314.4(c)(8)). ARRTECH SIEM logs user activity and gives each user a risk score.
European Union DORA detection
Detect anomalous activity promptly (Article 10). ARRTECH SIEM alerts when a log source stops, and Cyberdroid AI 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 you become aware. Each ARRTECH SIEM case keeps a timeline from detection onward.
United Kingdom FCA SYSC 9
Keep orderly records of your business and internal organization. ARRTECH signs every log so it can be verified.
United Kingdom FCA PS26/2
From March 18, 2027, report operational incidents and material third-party arrangements. ARRTECH SIEM logs each connection to a third party.
Questions
Is trading activity in the record?
Yes. ARRTECH SIEM collects trading platforms, including MetaTrader, alongside sign-in, VPN and email logs. If your order, execution or FIX systems are not supported yet, we write the connector at no charge.
Can customer data leave without us knowing?
ARRTECH DLP checks email before it is sent, file uploads and prompts to AI tools, as FINRA’s 2026 report recommends. In 2025, Coinbase disclosed that attackers paid its support staff. Cyberdroid AI Detection flags anyone acting unlike their own history and shows why.
Who approves an action?
A person. ARRTECH SOAR emails the approver up to five options and waits. The history shows who chose what and when.
What do we need to provide?
Your logs and ordinary servers in your environment; no GPUs. ARRTECH SIEM collects through an agent, syslog, database connections and Microsoft 365.
What stays with you?
Filing notices, and your vendors’ own systems: ARRTECH records your connection to a vendor, not what happens inside it. ARRTECH SIEM is not a 17a-4 WORM archive or a trade surveillance tool. Cyberdroid AI Detection reports about once an hour and never blocks.
Sources
Guide
What is Regulation S-P?
Reg S-P is the SEC rule for customer data at broker-dealers and advisers. The 2024 amendments require customer notice within 30 days and vendor notice within 72 hours.
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’s 2026 report highlights account takeover, insider threats, vendor risk and scanning outbound email for customer data.
Next steps
Spot unusual behavior early. Learns what normal looks like for every user, computer and application from your SIEM, and flags what changes.
Get the evidence fast. Investigates each finding with read-only queries and hands a person the evidence. It never approves its own work.
Keep sensitive data in. Checks email, uploads and AI prompts before customer data leaves the computer.
Respond with a person in charge. Runs incident response steps through your existing tools, with a person approving each decision.
See every system. Collects and signs logs from more than 500 source types, trading platforms included.
