Finalis Achieves SOC 2 Type 2 Compliance


Last edited in Apr 06, 2023

San Francisco and New York
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Victoria Hearne

SAN FRANCISCO and NEW YORK – April 6th, 2023 – Finalis, the world’s fastest-growing capital markets dealmaking platform, announced today that it has achieved SOC 2 Type 2 compliance in accordance with American Institute of Certified Public Accountants (AICPA) standards for SOC for Service Organizations, also known as SSAE 18. 

AICPA’s review stated that Finalis’ service commitments, system requirements and controls operated effectively through the period March 1, 2022 to March 1, 2023.

Achieving this standard with an unqualified opinion serves as third-party industry validation that Finalis provides enterprise-level security for customers’ data secured in the FinalisOS™. This is a significant compliance and security milestone demonstrating Finalis’ ongoing commitment to the security and integrity of customer data.

About Finalis

Finalis is the leading platform enabling dealmakers to execute deals compliantly. Finalis delivers a fully-integrated regulatory affiliation and compliance solution that supports a range of private market dealmaking, including M&A, capital raising, private placements, direct participation programs, fintech marketplaces, and alternative investment sponsorships.

Finalis also provides superior leverage to its network of dealmakers with a fully-integrated deal origination, execution and distribution solution. Through a suite of capital markets solutions including the Finalis Marketplace™, Finalis Connect, and Finalis Capital Introduction, Finalis is connecting dealmakers to transform the capital markets.

“We are very pleased to achieve this significant milestone. SOC 2 Type 2 compliance underscores our ongoing commitment to provide our clients with a comprehensive platform that adheres to the strictest security standards and compliance protocols,” said Federico Baradello, Finalis’ Founder and CEO. “FINRA cites balancing security and customer experience as one of the paramount cybersecurity challenges in the broker-dealer market space. Our clients have access to one-to-one customer service and can feel confident that we maintain the highest level of security and compliance.”

Finalis was audited by Prescient Assurance, a leader in security and compliance attestation for B2B, SaaS companies worldwide. Prescient Assurance is a registered public accounting firm in the U.S. and Canada, and provides a range of risk management and assurance services. 

Launched in 2020 and growing rapidly, Finalis is on a mission to power dealmakers by building the world's indispensable dealmaking platform. Finalis manages over 900 active deals worth over $20 billion, and supports over 200 investment banks, placement agency, and M&A advisory partners globally. For more information, please visit Finalis. 

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