17a-4 Compliance: SEC Rule 17a-4 Electronic Recordkeeping Compliance

Finalis Securities utilizes an electronic system to maintain and preserve required records in accordance with Securities Exchange Act Rule 17a-4.

SOC 2 Type 2 Compliance

Achieving this standard with an unqualified opinion validates Finalis’ ongoing commitment to the security and integrity of customer data.

Enhanced Security with Auth0

Secure access and identity management are critical. Auth0 supports the layered protection in security which uses a variety of signals to detect and mitigate attacks, ensuring that access to client data is safeguarded with advanced security features.

Rigorous Re-Testing Following Penetration Tests

Following each penetration test, we undertake a thorough re-testing process to verify that all identified vulnerabilities have been effectively addressed. This involves validating the remediation measures implemented and ensuring that no new issues have arisen.

By re-testing, we confirm the robustness of our security enhancements against emerging threats.

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