Who We Serve
Broker-Dealers
Controls enforced across every branch, every rep.
Evidence assembled before the examiner walks in.
The broker-dealer home office sets the compliance program. That program must reach every branch and every registered representative, including those working with BYOD from independent offices, home locations, or remotely. FCI enforces controls across the full branch network — and produces FINRA and SEC-aligned evidence continuously, so the home office can confirm every branch is in good order before the examiner asks.
What Changes for You
Find your role. See what FCI means for your day.
Owner / Managing Partner
Your firm’s regulatory standing and client trust are protected by controls that run across every branch and every rep — without requiring you to build a security team or manage technology. When the examiner or cyber insurer asks, the documentation is already there.
CISO / CCO
The gap between your written policies and what you can actually prove in the field closes on day one. Controls enforce across every branch, every rep device. The FCI Portal produces FINRA and SEC-aligned evidence continuously — you stop preparing for exams and start showing them.
Field Compliance Officer
You no longer chase branches for documentation or verify controls office by office. FCI enforces the home office’s security requirements across every location automatically — and the evidence of that enforcement is visible in real time through the FCI Portal.
IT Manager
FCI works alongside your existing infrastructure — it is not a replacement. Endpoint protection, patching, and monitoring deploy without requiring you to visit branches or configure devices remotely. Your workload decreases. Your visibility increases.
The Problem
FINRA expects evidence of supervision. Your reps work from places you cannot see.
Each branch may have its own technology environment, its own devices, and its own IT support — or lack of it. Registered representatives may work from independent offices or home locations on BYOD devices that process client orders and access firm systems without ever being verified or monitored.
FINRA’s examination program has expanded its cybersecurity focus significantly. Examiners now routinely ask for evidence of specific controls: endpoint protection across all registered representative devices, MFA enforcement, access controls, incident response plans, vendor due diligence documentation, and written supervisory procedures backed by technical evidence — not just policies on paper. Examination findings increasingly cite the gap between a written policy and a technically enforced control.
For most broker-dealers, assembling that evidence takes weeks. Findings from controls that failed to reach branch offices are among the most difficult to remediate.
What Changes With FCI
Network-wide enforcement. Exam evidence that builds itself.
FCI maps the full scope of your rep network — every device, every location, every connection to firm systems. Controls are deployed and enforced from that point forward: MFA, Always-On VPN, endpoint protection, Zero Trust access. Your FCI Portal begins producing documentation aligned to FINRA and SEC framework requirements immediately.
Every Rep Covered
Controls reach every registered representative — branch, independent, and home office — without requiring IT presence on site.
Continuous Evidence
FINRA and SEC exam evidence assembles continuously — your compliance team opens the FCI Portal instead of rebuilding records manually.
Zero Trust Access
Zero Trust access controls prevent a single compromised rep device from reaching firm systems or other branches.
24×7 SOC Monitoring
Every alert across the full rep network is reviewed by trained analysts — around the clock, not just during business hours.
In the Field
The Journey
The decision many firms make once they’ve built strong cybersecurity capability in-house.
Built strong. Then the scale question.
Firms that take cybersecurity seriously usually build internal capability first — the team learns what monitoring the environment requires, integrates the tools across the rep network, and manages the day-to-day. For a while, it works. Then the scope keeps widening. The threat landscape accelerates. Hiring scarce specialists gets harder, key-person risk grows, and the team is still only seeing what happens inside one firm’s four walls.
A strategic decision, not a remediation.
The firms that bring in FCI aren’t firms that missed something. They’re firms that decided running cybersecurity internally was no longer the right use of their team. FCI becomes the technical cybersecurity partner — continuously enforcing controls across every registered rep and branch, monitoring the environment around the clock, and producing the examination-ready evidence the firm’s compliance program requires. The firm’s own team stays focused on business strategy, client service, and the program itself.
Intelligence that crosses firms.
The advantage firms point to most often isn’t technical — it’s perspective. When a new threat surfaces at one FCI client, every FCI client gets the protection. Firms get a call when a new threat is landing and they don’t yet have coverage for it. No internal team, at any size, can see the industry that way.
The Evidence Package
The examiner will ask for your cybersecurity evidence. FCI builds it while your reps are working.
Device inventory and control enforcement log across all reps and branch locations
FINRA Rule 3110 and SEC cybersecurity framework alignment mapping
Written supervisory procedure documentation with supporting technical evidence
MFA, VPN, and endpoint encryption enforcement records — rep by rep
Vendor due diligence file for FCI (SOC 2 Type 1, SecurityScorecard)
Incident log and response documentation
Access control and user provisioning records
Next Step
Request a 30-minute Gap Analysis
See your branch network exposure and exam readiness today.