Regulators and clients hold financial firms to a higher bar. We support Fairfax advisories, lenders, and funds with encrypted communications, compliance-aligned controls, and uptime that protects every trading day.
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We are not a generalist MSP that learned financial compliance from a checklist. Capital Techies has built its financial services practice around the specific technical requirements that regulators, cyber insurers, and institutional clients demand from Fairfax financial firms.
Full-stack managed IT for financial firms — helpdesk, endpoint management, patch management, and a 24/7 Security Operations Center staffed by real analysts. We monitor your environment around the clock for indicators of compromise, unauthorized access, and data exfiltration. Alerts are triaged by humans, not just forwarded to your inbox. Our average detection-to-containment time is under 15 minutes for active threats.
We handle end-to-end GLBA compliance for Fairfax financial firms. This includes serving as or supporting your Qualified Individual (QI), conducting documented risk assessments, implementing MFA across all systems, encrypting data at rest and in transit, deploying vulnerability scanning and annual penetration testing, and producing the board-ready annual report required by the FTC. We do not just advise — we implement.
For financial firms that accept, store, process, or transmit payment card data, PCI DSS compliance is mandatory. We help Fairfax firms scope their cardholder data environment (CDE), implement network segmentation to reduce scope, deploy required controls (firewall configuration, intrusion detection, log monitoring), and prepare the documentation your acquiring bank or QSA needs during an assessment. We simplify PCI without compromising thoroughness.
When SEC or FINRA examiners request cybersecurity documentation, Capital Techies provides the policy library, access control evidence, penetration test reports, vendor due diligence records, and incident response documentation your compliance officer needs. We maintain a living documentation package updated with every control change, so you are never scrambling to reconstruct evidence before an exam. Our documentation is written to satisfy exam expectations, not just internal purposes.
We implement end-to-end encryption for client financial data across every system — laptop drives, cloud storage, email, backup media, and data in transit between your firm and client portals. Encryption key management, certificate lifecycle management, and cryptographic standards review are all included. We ensure your encryption implementation meets GLBA technical requirements and satisfies cyber insurance underwriting questionnaires.
We design, implement, and annually test business continuity and disaster recovery plans that meet FINRA Rule 4370, SEC guidance, and your cyber insurance policy requirements. Immutable cloud backups with defined recovery time objectives (RTOs) and recovery point objectives (RPOs), failover infrastructure, and documented BCP procedures that regulators can review. We do not just write the plan — we test it and keep it current as your technology environment evolves.
We specialize in managed IT and compliance support for the full spectrum of Fairfax financial services firms. Whether you manage client portfolios, process insurance premiums, or advise on acquisitions, we understand your regulatory obligations and operational requirements.
RIAs registered with the SEC or state regulators face stringent cybersecurity requirements under Regulation S-P and evolving SEC guidance. Capital Techies provides RIA IT support Fairfax firms depend on — from encrypted client data storage and MFA enforcement to the cybersecurity documentation required during FINRA or SEC exams. We help Fairfax RIAs demonstrate a defensible cybersecurity posture at every stage.
Wealth management IT Fairfax firms need must protect high-net-worth client data while delivering seamless advisor productivity. We manage the full technology stack — Orion, Redtail, Black Diamond, Salesforce Financial Services Cloud — and overlay compliance controls including GLBA-compliant data handling, encrypted communications, and role-based access governance so advisors can focus on relationships, not risk.
CPA and accounting firms handle sensitive financial data for hundreds of clients, making them prime targets for ransomware and business email compromise attacks. Under the FTC Safeguards Rule, accounting firms that provide certain financial services are classified as financial institutions subject to GLBA. We help Fairfax CPA firms implement the required information security program, document controls, and protect client tax and financial data year-round.
Insurance firms collect highly sensitive personal and financial data — premium histories, medical disclosures, beneficiary information — and are subject to both state insurance regulations and the GLBA Safeguards Rule. Capital Techies helps Fairfax insurance agencies and brokerages implement written information security programs (WISPs), enforce least-privilege access, and document the technical controls regulators look for during examinations.
Mortgage lenders and consumer finance companies process payment card data and non-public personal information (NPI) at every transaction. PCI DSS compliance, GLBA compliance, and state-level data privacy laws all apply. We help Fairfax mortgage and lending firms segment cardholder data environments, implement encryption, enforce MFA on all loan origination systems, and maintain audit-ready documentation for regulatory exams and cyber insurance renewals.
PE and VC firms manage highly confidential deal data, investor records, and portfolio company financials. A single data breach can compromise active transactions, expose limited partner data, and trigger regulatory scrutiny. We provide secure IT environments for Fairfax private equity and venture capital firms — including encrypted deal rooms, insider threat monitoring, and the cybersecurity governance framework increasingly demanded by institutional LPs during due diligence.
Financial firms in Fairfax operate at the intersection of strict regulatory requirements and sophisticated cyber threats. Understanding these challenges is the first step to addressing them with a compliance-aware IT partner.
The SEC and FINRA have issued repeated guidance and exam priorities around cybersecurity. Registered advisors and broker-dealers must demonstrate written cybersecurity policies, annual testing, access controls, and incident response capabilities. Deficiencies identified during exams can result in formal actions, censures, and fines. Capital Techies prepares Fairfax financial firms for exam-day questions with documentation, policies, and technical evidence.
The updated FTC Safeguards Rule (effective 2023) requires a written information security program, a designated Qualified Individual (QI), MFA on all systems with customer data, encryption at rest and in transit, penetration testing, and annual risk assessments. Many Fairfax financial firms lack the in-house technical staff to implement and document all of these requirements. We serve as the technical backbone behind your GLBA compliance program.
Financial firms are entrusted with some of the most sensitive personal data that exists: Social Security numbers, account numbers, net worth disclosures, and investment history. Protecting non-public personal information (NPI) is a legal requirement under GLBA and a fiduciary obligation under SEC guidance. We implement data loss prevention, encryption, and access governance to ensure NPI never leaves your environment unprotected.
Financial services is consistently among the top three most-targeted sectors for ransomware attacks. Threat actors specifically target firms managing large asset bases or storing high-value client data, knowing that the reputational damage of a breach forces quick payment decisions. Capital Techies deploys SentinelOne endpoint detection and response (EDR), immutable backups, and 24/7 SOC monitoring to detect and contain ransomware before it spreads across your environment.
FINRA Rule 4370 requires broker-dealers to have a written Business Continuity Plan (BCP) tested at least annually. SEC guidance expects investment advisers to address business continuity in their written compliance programs. Financial markets do not pause for IT outages. We design and test business continuity and disaster recovery plans that meet regulatory expectations and ensure your firm can serve clients even during major disruptions.
SEC and FINRA examiners increasingly request IT documentation during routine exams: cybersecurity policies, access logs, vendor management records, penetration test reports, and incident response documentation. Firms that cannot produce this documentation on short notice face escalated exam findings and follow-up reviews. We maintain an audit-ready documentation package for all clients so you can respond to any regulatory request within hours, not weeks.
The Gramm-Leach-Bliley Act (GLBA) Safeguards Rule requires financial institutions — including banks, insurance companies, investment advisors, and mortgage lenders — to develop, implement, and maintain a comprehensive information security program to protect customer financial data. The FTC updated the Safeguards Rule in 2023 to include specific technical requirements such as MFA, encryption, penetration testing, and a designated qualified individual (QI) overseeing the security program.
The GLBA Safeguards Rule applies to “financial institutions” as defined by the FTC — a broader category than many Fairfax firms realize. The following types of businesses are subject to GLBA compliance:
The FTC’s updated Safeguards Rule (effective June 9, 2023 for most requirements) introduced specific, enforceable technical and administrative requirements:
Designate a qualified individual responsible for overseeing the information security program — either an employee or a third-party service provider like Capital Techies.
Conduct and document a risk assessment identifying reasonably foreseeable internal and external risks to customer information security.
Implement MFA for any individual accessing any information system with customer financial data. No exceptions are permitted without a written alternative compensating control.
Encrypt all customer data in transit and at rest using current cryptographic standards. This applies to laptops, servers, email, cloud storage, and backup media.
Conduct annual penetration testing and biannual vulnerability assessments. Document results and remediation plans to demonstrate continuous improvement.
Develop and maintain a written incident response plan addressing detection, containment, notification, and recovery — tested at least annually.
Select and retain service providers that maintain appropriate safeguards. Include contractual provisions requiring service providers to implement and maintain these safeguards.
Report to the Board of Directors (or equivalent governing body) at least annually on the overall status of the information security program and material risks.
The FTC can impose civil penalties of up to $100,000 per violation against financial institutions that fail to comply with the Safeguards Rule. Individual officers and directors may face penalties of up to $10,000 per violation. Beyond FTC enforcement, non-compliant firms that suffer a data breach face:
Capital Techies provides managed IT support, integration assistance, and compliance-aware configuration for the leading financial services platforms used by Fairfax firms. Our team understands both the technical architecture and the data handling requirements of each platform.
Full managed support for Orion’s portfolio management, performance reporting, and client portal — including user provisioning, SSO integration, and ensuring all data access is logged and MFA-protected in compliance with GLBA requirements.
IT support for RIAs and wealth managers using Schwab Advisor Services and legacy TD Ameritrade Institutional — including workstation setup, custodial feed troubleshooting, and connectivity management for the Schwab integration environment post-merger.
Managed support for Redtail CRM including access control configuration, audit trail review, and integration with compliance monitoring tools. Redtail contains sensitive client NPI — we ensure access is limited by role, MFA is enforced, and all activity is logged and reviewable.
Configuration and managed support for Salesforce FSC — including Shield encryption, Event Monitoring setup, and compliance-ready data retention policies. We help Fairfax wealth management and banking firms unlock the compliance controls built into Salesforce FSC that are often left unconfigured.
IT support for Black Diamond performance reporting and client engagement — from user management and SSO configuration to network-level access controls ensuring Black Diamond client data is only accessible through secured, encrypted connections with enforced MFA.
Support for Morningstar Direct, Office, and Advisor Workstation — including workstation compatibility, API connectivity, and data feed management. We ensure Morningstar integrations with your portfolio management and CRM platforms are stable, secure, and compliant with your data handling policies.
Managed IT for QuickBooks Enterprise including hosted deployment, role-based access controls, automated backup with encryption, and integration support for accounting firms and financial services businesses that use QuickBooks as their core general ledger and client accounting platform.
IT support for Sage Intacct deployments at Fairfax financial firms and professional services organizations — including user provisioning, SSO/SAML configuration, API integrations, and audit trail configuration that supports both internal controls and external compliance requirements under GLBA and SOX where applicable.
The regulatory landscape for financial services cybersecurity has evolved significantly over the past three years. Fairfax financial firms must navigate a layered set of SEC rules, FINRA guidance, and state-level requirements — and demonstrate compliance through documentation, technical controls, and examination readiness.
Regulation S-P requires SEC-registered investment advisers and broker-dealers to adopt written policies and procedures to protect customer records and information. The SEC proposed significant amendments to Reg S-P in 2023, including mandatory incident response programs, written notification procedures for customers affected by breaches, and expanded requirements around third-party service provider oversight. Fairfax RIAs and broker-dealers should be preparing for these requirements now.
Capital Techies documents your Reg S-P compliance posture through written information security policies, access control logs, third-party vendor security reviews, and incident response plan testing — all formatted to satisfy SEC examination requests.
The SEC’s cybersecurity disclosure rules, effective December 2023, require public companies to disclose material cybersecurity incidents on Form 8-K within four business days of determining that an incident is material. Annual disclosures on Form 10-K must include a description of processes for assessing and managing material cybersecurity risks and the board’s oversight of cybersecurity risk.
For Fairfax-area public financial firms, this means your incident response plan must include a materiality assessment process, documented escalation procedures, and pre-drafted disclosure templates. Capital Techies helps you build and test the technical infrastructure to detect, assess, and report incidents within the four-day window.
FINRA’s Report on Cybersecurity Practices outlines the practices it observes at member firms and expects during examination. Key areas include:
A cybersecurity incident at a financial firm is not just an IT problem — it is a regulatory event, a legal obligation, and a reputational crisis. Fairfax financial firms need a written incident response plan (IRP) that addresses the technical, legal, and regulatory dimensions of a breach before one occurs.
The GLBA Safeguards Rule explicitly requires a written incident response plan as part of your information security program. FINRA expects to see a documented IRP during examinations. The SEC’s proposed Reg S-P amendments would mandate incident response programs for registered firms. Cyber insurance underwriters require evidence of a tested IRP before binding coverage.
Beyond compliance, a written and tested IRP reduces response time, limits the scope of breaches, and demonstrates to regulators, clients, and insurers that your firm takes data security seriously. Firms with documented IRPs typically resolve incidents faster and with significantly lower total costs than those responding ad hoc.
When a security incident occurs at your Fairfax financial firm, Capital Techies responds immediately — any hour, any day. Our incident response team initiates containment, preserves forensic evidence, coordinates with your legal counsel and cyber insurer, and helps draft regulatory notifications. We have the playbooks, the tools, and the experience to move from detection to containment in under 15 minutes for active threats.
Call 571-982-6000 for Incident ResponseFairfax’s financial community reaches far beyond the banks. The city is home to a substantial and growing financial services community that faces the same regulatory pressures as firms in New York, Chicago, and Dallas — but often with smaller in-house IT and compliance teams.
Fairfax is home to a growing cluster of community and regional banks — including Avenue Bank, Reliant Bank, and numerous credit unions — alongside a thriving independent RIA and wealth management community. The Fairfax financial district has attracted talent and capital from across the Southeast, with financial services employment growing steadily over the past decade.
The city’s combination of no state income tax, a business-friendly regulatory environment, and a growing professional talent pool continues to draw financial services firms away from more expensive coastal markets. This growth is a strength — and it makes having compliance-aware IT support a competitive differentiator for Fairfax wealth management IT and financial services firms of all sizes.
Northern Virginia is a financial center in its own right: Capital One’s headquarters in McLean, the asset managers and fintechs of Tysons, and the government-contract finance teams across the corridor. That concentration has built a deep ecosystem of investment firms, funds, and advisory practices. These firms manage highly sensitive deal data, LP information, and portfolio company financials requiring enterprise-grade data security.
Capital Techies has specific experience with the technology and security requirements of healthcare-adjacent PE and VC firms — including the intersection of GLBA financial data requirements and HIPAA-adjacent data handling for portfolio companies.
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Answers to common questions from Fairfax financial services firms exploring compliance-aware IT support.
The Gramm-Leach-Bliley Act (GLBA) Safeguards Rule is an FTC regulation that requires financial institutions to develop and maintain a comprehensive written information security program to protect customer financial data. If your Fairfax firm is classified as a “financial institution” under the FTC’s definition — which includes investment advisors, insurance agencies, mortgage lenders, CPA firms providing financial services, auto dealers with financing, and many others — then yes, the Safeguards Rule applies to you. The updated 2023 requirements are specific and enforceable, including MFA, encryption, penetration testing, and the designation of a Qualified Individual (QI) to oversee the program. Capital Techies can help you determine whether the rule applies and what you need to implement.
Capital Techies helps Fairfax-area RIAs and broker-dealers satisfy SEC and FINRA cybersecurity expectations through a combination of technical controls and documentation. On the technical side, we implement MFA, endpoint detection and response (EDR), network monitoring, encryption, and vulnerability management programs that align with SEC and FINRA expectations. On the documentation side, we produce the written policies, risk assessments, penetration test reports, training records, incident response plans, and vendor due diligence records that examiners request. We stay current with SEC guidance and FINRA exam priorities so your program evolves as the regulatory landscape does.
Yes — documentation for regulatory exams is a core deliverable of our financial services IT program, not an add-on. Every Capital Techies financial services client receives a maintained documentation package that includes their Written Information Security Policy (WISP), annual risk assessment, penetration test reports, vulnerability scan results, MFA deployment records, vendor management due diligence, cybersecurity training completion records, incident response plan and test results, and board reporting materials. This documentation is formatted to answer the specific questions SEC and FINRA examiners ask. When you receive an examination notice, we are ready to deliver your documentation package within hours.
PCI DSS (Payment Card Industry Data Security Standard) is a set of security controls required by the major card brands (Visa, Mastercard, American Express, Discover) for any organization that accepts, stores, processes, or transmits cardholder data. If your Fairfax financial firm collects credit or debit card payments — for advisory fees, insurance premiums, loan payments, or any other purpose — you are subject to PCI DSS. The specific requirements depend on how many card transactions you process annually (which determines your “merchant level”) and whether you store card data. Capital Techies helps Fairfax financial firms understand their PCI scope, implement required controls, and prepare the documentation required for annual compliance validation.
Capital Techies provides 24/7/365 incident response for all financial services clients. Our SOC team monitors your environment around the clock and can begin active containment within minutes of detecting a threat. For declared incidents — when your team identifies a potential breach — you reach a live incident response engineer immediately, not a call center or ticketing queue. We target detection-to-containment in under 15 minutes for active threats. We also coordinate with your legal counsel, cyber insurer, and regulatory contacts to ensure notification obligations are met within required timeframes. For Fairfax financial firms, speed of response is not just a service level — it directly affects regulatory notification compliance and breach scope.
Guillermo Corporan is the founder and CEO of Capital Techies, a managed IT services provider specializing in financial services IT support and compliance-aware technology solutions. With over a decade of experience supporting financial firms across the Mid-Atlantic and Southeast, Guillermo leads Capital Techies’ financial services practice, guiding Fairfax RIAs, wealth managers, CPA firms, and insurance agencies through GLBA Safeguards Rule implementation, SEC and FINRA cybersecurity exam readiness, and 24/7 managed security programs. Capital Techies serves financial institutions from its offices in the Washington DC area and Fairfax, Virginia.
Find out exactly where your Fairfax financial firm stands on GLBA compliance, SEC/FINRA cybersecurity requirements, and data security. Capital Techies delivers a plain-language gap assessment with prioritized remediation steps — no sales pressure, just clarity.
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Capital Techies • Financial Services IT Fairfax • 571-982-6000 • capitaltechies.com