Industries · Financial advisory and insurance · Security edition
Financial data, examined. Evidence, ready.
Examiners, carriers and clients expect financial firms to protect data and to prove it. Most firms have policies; fewer have evidence. We build readiness against the rules that apply, govern vendors and AI tools that touch client data, and prepare the firm for the incident the sector’s notification rules anticipate.
At stake
What can go wrong.
- A safeguarding program described in policy and absent in practice.
- Client data in custodial, CRM, planning and communication platforms with uneven agreements and access.
- Advisors using AI assistants on client communications with no policy or supervision.
- A compromise of email that redirects a transfer or exposes client records.
- An examination or carrier review the firm cannot answer with evidence.
What we do
The capabilities applied.
- Policy and procedure development policies that match practice
- Data inventory and mapping where client data actually lives
- Acceptable-use and supervision policy AI use with supervision regulators recognize
- MFA and phishing-resistant authentication planning the control that stops transfer fraud
- Breach escalation procedures notification obligations handled on time
- Cyber insurance evidence preparation answers to the carrier, verified
Evidence
What you can show.
- Readiness assessment against the safeguarding and privacy rules that apply.
- Data and vendor inventory with agreements and access status.
- AI acceptable-use policy with supervision points and training records.
- Evidence pack for examiners and carriers, maintained between reviews.
- Governance engagement: safeguarding and privacy readiness, AI governance and evidence pack for examiners and carriers.
- Authority plan with compliance review built in, for a firm whose clients research decisions before they call.
- Dominance plan where the firm advertises heavily in a category with regulated creative.
Questions
Asked before engaging.
Do you work with our compliance officer?|Closely. Compliance owns the determinations; we build the operational program and the evidence.
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Is AI use allowed in our sector?|Under supervision and with records, often yes. The policy and the inventory make it defensible.
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Can the same evidence serve the examiner and the carrier?|Largely. The pack is indexed to each audience.
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By David Selakovic · Published 2026-10-16 · Revised 2026-10-16 · Reviewed every 180 days