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FCI Portal
Compliance & Exam Readiness

The examiner is coming. The documentation is already there.

FCI maps every control to the frameworks your regulators use — SEC, FINRA, NYDFS, NAIC. Your compliance team doesn't prep for exams. They open the FCI Portal and show the work that's been building all year.

80%+
compliance management time returned
4
regulatory frameworks mapped
365
days a year evidence builds
The Problem

Compliance preparation should not be an event.

Retroactive Evidence
Most firms assemble exam documentation after the notice arrives. Three to six weeks of scrambling to produce logs and reports that describe what should have been happening all year.
IT Can't Produce What It Doesn't Track
IT providers manage performance and uptime. Most do not produce NIST-mapped compliance evidence, maintain SOC 2 attestation, or have financial services exam experience.
Regulations Are Getting More Specific
SEC amended Reg S-P requires written programs and vendor oversight. NYDFS Part 500 requires CISO certification and MFA documentation. FINRA examiners request specific controls during routine reviews.
The Cost of Being Unprepared
An IT provider turned off MFA to simplify upgrades. A phishing attack led to a $700,000 wire fraud. The FBI's primary suspect was the advisory firm itself — without documented controls, the firm couldn't prove what happened.
What Compliance Readiness Means

It's not a product. It's what happens when controls run every day.

The firm can demonstrate, at any moment, that its cybersecurity controls are in place, enforced, and documented — without needing to prepare.

Controls Generate Evidence
Every control FCI enforces produces documentation automatically. Every device appears in a live inventory with its compliance status. The evidence assembles itself, every day.
Framework Mapping
Every regulatory framework the firm falls under is mapped to specific controls FCI implements. The examiner sees which controls satisfy which rules.
The FCI Portal
A single view of every device, every control, and every piece of evidence — organized by regulatory framework. The compliance officer opens the FCI Portal, not a filing cabinet.
CISO Development
The FCI Portal walks security officers through regulatory tasks, ensures they can evidence completion, and teaches them the job while they do it. "It helps them become a successful CISO."
Regulatory Coverage

Mapped to what your examiner actually asks for.

SEC — Regulation S-P
Written cybersecurity programs, incident response procedures, access controls, vendor oversight documentation. Examiners focus on account intrusion prevention, remote work security, and third-party oversight.
FINRA — Rules 3110 & 4370
Supervisory system documentation, business continuity evidence, annual risk assessments, hardware and software inventory, and vulnerability scans across every registered representative and branch.
NYDFS — Part 500
Among the most prescriptive regulations in force. CISO certification support, penetration testing evidence, MFA documentation, and annual reporting — including 2023 enhanced requirements.
NAIC — Model Law
Adopted in 20+ states. Risk assessments, control implementation, third-party oversight, and breach notification. FCI extends controls to appointed agents and independent agencies.
NIST CSF GLBA SOC 2 HIPAA
What Your Compliance Team Receives

Evidence that examiners recognize.

Written Security Policy
Aligned to your regulator's language, reviewed annually, mapped to enforced controls
Device Inventory
Every endpoint with current control verification — exportable, updated continuously
Framework Mapping
Every control cross-referenced to every applicable regulatory requirement
Exam Evidence Package
Generated on demand via FCI Portal, structured for what examiners ask
Incident Response Plan
Documented, tested, backed by 24×7 SOC and forensic capability
Vendor Due Diligence on FCI
SOC 2 Type 1, SecurityScorecard 100%, MSP Verify, NIST CSF mapping
The Contrast

Two versions of exam day.

Without Continuous Readiness
Exam notice arrives. IT scrambles for logs. Device list is from last quarter. Policy hasn't been reviewed. Incident response plan is an untested template. Three to six weeks assembling documentation. Examiner finds gaps.
With FCI
Exam notice arrives. Compliance officer opens the FCI Portal. Device inventory is current. Framework mapping shows controls-to-requirements. Evidence package generates on demand. Preparation time: minutes, not weeks.
80%+
compliance management time returned to the firm
90%
reduction in decommissioning time via FCI Portal
30+
years of financial services exam experience
How FCI Is Different

Most providers implement controls. FCI implements controls and produces the evidence that they're working.

Mastery
30+ years serving financial services exclusively. FCI knows which settings matter, which defaults fail, and what examiners actually ask for — because FCI has been through hundreds of these examinations.
Automation
Templates and enforcement replace manual configuration. Controls deploy automatically. Evidence generates automatically. No one has to assemble anything after the fact.
Consistency
All users, all devices, all networks. Every registered representative, every branch, every agency — same controls, same evidence, same standard. No gaps, no exceptions.
Persistent Compliance
Enforced every day, not just on audit day. FCI enforces controls continuously and produces evidence continuously. Point-in-time audits become a byproduct of persistent enforcement.
What You Can Prove

Evidence assembled before anyone asks — for every audience that matters.

To the Examiner
Complete, current, framework-mapped evidence package generated on demand. Device inventories, control verification, policy documentation, and incident response plans — structured to match SEC, FINRA, NYDFS, and NAIC requirements.
To the Home Office
Confirmation that every sales office, branch, and agency meets the same cybersecurity standard. Real-time visibility across the entire distributed environment.
To the Cyber Insurer
MFA enforcement, encryption status, EDR deployment, patching compliance, and incident response capability — the documentation that supports premium negotiations and claims.
To the Board
A clear, auditable picture of the firm's cybersecurity posture. Senior leadership confirms the compliance program is running as it should — without personally managing it.
SEC FINRA NYDFS NAIC Cyber Insurance Home Office

See your current exam readiness posture — and what it would look like with FCI — in 30 minutes.

FCI works with broker-dealers and branch offices, insurance carriers and agencies, and RIAs. Start with a gap analysis — it is free, takes 30 minutes, and commits you to nothing.

Phone (866) 708-1270
Web fcicyber.com