Broker Dealers

CEOs & Boards of Directors

Enabling Cultures of Cyber Compliance


Ask Your Team

Leadership Questions for Cyber Compliance & Independent Advisor Responsibilities

What is the State of the Industry

The impacts of staying compliant in a shifting environment


What Your Peers Tell Us


  • Churn of staff
  • Lack of cyber experts to replace them
  • Limited Incident Response expertise


  • BYOD challenges
  • Siloed cyber tools not integrated or configured properly
  • Lack of automation


  • Tech team not concerned with compliance
  • Independent branch compliance
  • Evidence of compliance


Risks Faced Today


  • Fines
  • Audit and remediation costs
  • Senior Leadership personal liability


  • Non-renewals
  • Increase in Premiums
  • Claims denials


  • Downtime & Business disruption
  • Increased costs and lost revenues
  • Reputational damage

What we Learned About Cybersecurity Requirements

From CEOs, Boards, Compliance & Risk Officers, CISOS and Security Professionals

We Applied it to our Solutions

Scalable Cyber Options

Low-Risk Environments

High-Value / Low TCO

Endpoint Automated Enforcement

Adaptable, Configurable Controls

Integrated, Optimized Protection

Cyber ROI Stats

Financial Services firms lose approximately $5.9 million per data breach.
28% higher than the global average.
Organizations that deployed advanced threat detection and response tools averaged a savings of 9.2% per breach.
Organizations that employ security automation and automated security orchestration saved on average $3 M per breach. 
In 2022, the SEC fined more than a dozen financial services companies almost $2 billion for cybersecurity shortcomings.
Firms with robust incident response frameworks saved an average of $2 million.
FCI Red Logo

FCI Enables Broker Dealer Branch Cyber Compliance

By Solving the Last Mile of Cybersecurity Compliance


Advisory Services

CISOs are well versed and credentialed in their field. Attack surfaces continue to expand along with cyber tool selection, threat types and regulations.


As regulations and guidelines indicate, checks and balance must be in place.


FCI’s unique background in Financial Services across cybersecurity, regulations, compliance, forensics, cyber tool integration, and automation allows us to join forces and partner with clients to create more secure environments.

Decision Support

Risk Assessments

Branch Compliance

Incident & Breach Support