Managed IT for Financial Services

PTG provides managed IT for financial services with compliance-first controls, industry-specific platform expertise, and evidence-backed security programs for financial services firms in Orlando and Central Florida.

Why financial services firms need specialized IT

Financial services firms operate under overlapping regulatory frameworks that touch every part of the technology stack. The FTC Safeguards Rule now requires a written information security program with specific technical controls. SEC Regulation S-P imposes a 30-day breach notification requirement on registered investment advisers. FINRA cybersecurity guidance sets expectations for broker-dealers. State privacy laws add another layer, and Florida's Digital Bill of Rights adds requirements specific to Florida-based firms.

Generic IT support does not produce the evidence a regulator will ask for during an examination. It does not automatically satisfy the FTC Safeguards Rule qualified individual requirement. And it does not build the incident response playbook a firm needs when Reg S-P's 30-day clock starts on a suspicious activity.

Perez Technology Group serves financial advisors, registered investment advisers, wealth managers, insurance brokers, mortgage brokers, and small lenders across Orlando and Central Florida.

What is included in financial services managed IT

PTG's financial services managed IT program covers the full compliance stack:

• FTC Safeguards Rule qualified individual services — PTG can serve as the qualified individual overseeing your written information security program
• SEC Regulation S-P breach response — 30-day notification playbook with pre-drafted templates
• Portfolio and CRM platform support — Redtail, Wealthbox, Salesforce Financial Services Cloud, Envestnet, Orion, Tamarac, eMoney, MoneyGuidePro
• Encrypted email and document exchange — client portals with encryption at rest and in transit
• Wire fraud protection — critical for lending and wealth management
• Endpoint security with EDR — 24/7 monitored on every device
• Identity security with MFA — including hardware token options for high-privilege accounts
• Written information security program (WISP) — aligned with FTC Safeguards Rule, SEC guidance, and Florida FIPA
• Annual risk assessment — documented, dated, reviewed, and made audit-ready

The FTC Safeguards Rule changed everything

The updated FTC Safeguards Rule effective June 2023 imposed nine specific technical and administrative controls on non-banking financial institutions. In November 2024, the FTC added a breach reporting requirement: a firm must notify the FTC within 30 days of discovering unauthorized access affecting 500 or more customers. In 2026, enforcement is active and specific.

Firms that treated the Safeguards Rule as aspirational are now finding out what "reasonable and appropriate" actually means. PTG helps clients get compliant, stay compliant, and produce the evidence a Safeguards Rule audit will demand. See our FTC Safeguards Rule audit readiness guide for the full checklist.

Real-world financial services IT scenarios PTG handles

Suspicious activity discovery triggers Reg S-P timeline

An RIA discovers a phishing email may have exposed client data. Regulation S-P starts a 30-day notification clock. PTG's incident response playbook: contain, investigate, document, notify affected clients, notify regulators, and produce a post-incident report. Firms with a rehearsed playbook complete the 30-day process without regulatory findings.

FTC Safeguards Rule audit or inquiry

The FTC opens an inquiry after a breach or complaint. PTG produces the qualified individual attestation, written information security program, risk assessment, workforce training records, vendor management inventory, and incident response records that the Safeguards Rule expects.

Wire fraud on a client account

A client's email is compromised and fraudulent wire instructions are sent to the firm. PTG's out-of-band verification workflow and email security catch the fraud before the wire goes out. Firms with these controls have a near-zero success rate for wire fraud attempts.

Departing advisor and book-of-business protection

An advisor leaves and the firm needs to confirm what client data the advisor accessed in the 90 days before departure. PTG's audit logging captures this; without it, the firm has no way to enforce non-solicitation or protect client information.

Pricing and engagement models

PTG financial services managed IT typically runs $175-$325 per user per month depending on:

• Number of advisors and support staff
• Portfolio management, CRM, and financial planning platforms in use
• Regulatory scope (RIA, broker-dealer, insurance, mortgage, lending)
• Whether PTG serves as the FTC Safeguards Rule qualified individual
• Compliance evidence collection scope

We offer a free 60-minute IT resilience assessment specifically for financial services firms. The assessment covers your FTC Safeguards Rule gap analysis, SEC/FINRA cybersecurity posture, and Florida FIPA compliance. Contact PTG to schedule.

How PTG compares to generic MSPs