Cybersecurity Solutions for Wealth Management

Get a Hold on Your Cybersecurity

Leveraging partnerships with leading cybersecurity providers Workplace by OS33 and Security Snapshot and our own unrivaled experience with the IT systems of wealth management firms, Docupace helps Broker-Dealers and RIAs of all sizes reduce capital expenses, eliminate the need for in-house security staff, and ensure their critical systems and data are protected from cyber attacks.

Docupace and Workplace by OS33 are listed in FINRA’s Compliance Vendor Directory.

Protect Every Device in Every Office

Leverage an industry-leading cloud security and compliance platform, which enables productivity while helping safeguard data and ensuring regulatory compliance.

Endpoint Device Protection Solution

Device protection that acts as a gate in front of your firm’s web portal or application – it dynamically controls users’ access to your SaaS apps and data to ensure all devices adhere to your security and compliance policies.

Enforce your firm’s compliance policy using the industry’s most comprehensive menu of criteria and controls
Examine devices’ security posture utilizing the latest scan criteria, including encryption, antivirus, physical location, operating system patches, updates, application blacklists and more
Designed to meet and exceed FINRA, SEC and State regulatory guidance
Audit-ready reporting and device forensics for all agents, reps, and advisors accessing your firm’s data
Mitigate your cybersecurity risk – drive towards 100% compliance for all agents, reps, and advisors accessing your firm’s data

Protect All of Your Firm’s Data

Create a cutting-edge security perimeter designed to protect your firm’s data.

Perimeter Security Solution

Enable your firm to deliver sensitive applications and data to your agents, reps, and advisors. A secure perimeter is established to help ensure security and regulatory compliance by using advanced security technology and dynamic access control.

Use a single interface for your agents, reps, and advisors to get work done
Provide your agents, rep, and advisors with one-click access to firm-specified applications
Isolate sensitive web activity in an ultra-secure environment, separate from users’ local devices and networks through a secure purpose-built browser
Enforce regulatory-required authentication methodology for all your agents, reps and advisors
Get a safe and simple cloud file storage and sharing for use by your agents, reps, and advisors

Assess, Improve, and Maintain Overall Security

Don’t know where to begin with cybersecurity and security compliance? Docupace provides comprehensive cybersecurity consulting services for Broker-Dealers and RIAs.

These services include:

Comprehensive hardware and software inventory and controls review
Delivery of a complete cybersecurity report, including remediation strategy
Encryption services for devices and servers
Secure document storage for all cybersecurity-related materials
Ongoing protection, including daily remote evaluation of every device
Immediate remediation support for serious threats

We Help Broker-Dealers and RIAs Stay Compliant and Secure

“The team really understand financial services and cybersecurity. There are plenty of vendors for cybersecurity, but few were as insightful as Jay and team when it comes to applying it to financial services. They really helped us monitor the field and create appropriate policies for our organization.”

Jason Kavanaugh, Valmark Financial Group

How Broker-Dealers Can Protect Themselves From Top Cybersecurity Threats

Cybersecurity threats are a financial firm’s worst nightmare — even more so when you consider the stats:

Ransomware attacks occur every 14 seconds
35% of data breaches occur in the financial services industry
43% of cyber attackers target small businesses
There’s been a 67% increase in cyber breaches over the last 5 years

Experts predict cyber losses will hit $6 trillion in the next few years, and by 2021 money spent on cyber defense alone will total $1 trillion. How can broker-dealers protect themselves from the increasing data breaches and cybersecurity risks?

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