Compliance-ready financial technology
Your clients' financial data deserves enterprise-grade protection. We deliver it at a price that makes sense for your firm.
The SEC's amended Regulation S-P now requires written incident response plans and customer notification procedures for data breaches. The compliance deadline for smaller entities is June 3, 2026. FINRA's 2026 Regulatory Oversight Report lists cybersecurity as a top examination priority.
Your IT infrastructure is not just a business tool. It is a compliance requirement. Robell Technologies provides managed IT services designed for the regulatory demands of financial services, accounting, and fiduciary firms.
We design and maintain IT systems that support your compliance with SEC Regulation S-P and FINRA cybersecurity requirements. Written security policies, incident response plans, and audit-ready documentation included.
Amended in 2024. Requires written policies to detect, respond to, and recover from unauthorized access to customer data. Customer notification within prescribed timeframes. Smaller entity deadline: June 3, 2026.
FINRA's 2026 Annual Regulatory Oversight Report lists cybersecurity as a priority examination area. Firms must maintain comprehensive written supervisory procedures for data protection. Rule 4370 requires documented business continuity plans.
For firms subject to Sarbanes-Oxley requirements: Section 404 internal controls, 7-year minimum record retention with tamper-proof storage, and IT systems that support complete audit trails on financial data.
Financial firms face constant threats: wire fraud, phishing, ransomware, and social engineering targeting high-value transactions. We build layered security with AES-256 encryption at rest, TLS 1.2+ in transit, role-based access controls, and immutable logging of access events, configuration changes, and data modifications.
From QuickBooks optimization to full network security. One team that understands both the technology and the regulations.
Design and maintain IT systems that satisfy SEC, FINRA, and SOX requirements. Written security policies, incident response plans, and audit-ready documentation.
Secure deployment, backup, and access control for QuickBooks Desktop environments. Local data protection for firms that keep financial data on-premise for security and compliance reasons.
AES-256 encryption at rest, TLS 1.2+ in transit. Protect client financial data, transaction records, and account information at every point in your infrastructure.
Deploy and manage MFA across all systems, email, and remote access. Meet Regulation S-P requirements for access controls.
Implement logging and monitoring systems that produce immutable audit trails. Tamper-proof records of access events, configuration changes, and data modifications with 7-year retention capabilities.
Automated, encrypted backup with tested recovery procedures. Documented recovery time objectives and retention policies aligned with regulatory requirements.
24/7 monitoring, intrusion detection, and incident response. Proactive threat hunting aligned with FINRA examination expectations.
Assessment and monitoring of third-party technology vendors with access to client data. Documented vendor management program for regulatory examinations.
Strategic technology advisory for financial firms without a dedicated CTO. Regulatory roadmap planning, technology budgeting, and compliance gap analysis.
We work with the platforms your firm depends on.
Financial firms are prime targets. We configure email authentication (DMARC, DKIM, SPF), wire transfer verification protocols, and staff training to stop fraud before it starts.
Many financial firms keep QuickBooks on-premise for security reasons. We understand why, and we optimize, back up, and protect your desktop installation without pushing you to the cloud.
When your accounting system is down, your entire operation stops. Direct lines, direct text. 99% same-day resolution. No ticket queues.
We coordinate with your software vendors, your bank's IT requirements, and your auditors so you do not have to play middleman between technical teams.
Get a free security and compliance assessment. No cost, no obligation. The SEC Reg S-P deadline for smaller entities is June 3, 2026.
Schedule your free assessment