Our Commitment to Trust & Security

As the leading broker-dealer and networking hub, Finalis is built on the foundation of trust. This principle guides us in serving our community and future clients with unwavering dedication.

17a-4 Compliance: SEC Rule 17a-4 Electronic Recordkeeping Compliance

Finalis Securities utilizes an electronic system to maintain and preserve required records in accordance with Securities Exchange Act Rule 17a-4.

SOC 2 Type 2 Compliance

Achieving this standard with an unqualified opinion validates Finalis’ ongoing commitment to the security and integrity of customer data.

Enhanced Security with Auth0

Secure access and identity management are critical. Auth0 supports the layered protection in security which uses a variety of signals to detect and mitigate attacks, ensuring that access to client data is safeguarded with advanced security features.

Ongoing Penetration Testing and Security Reviews

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Rigorous Re-Testing Following Penetration Tests

Following each penetration test, we undertake a thorough re-testing process to verify that all identified vulnerabilities have been effectively addressed. This involves validating the remediation measures implemented and ensuring that no new issues have arisen.
By re-testing, we confirm the robustness of our security enhancements against emerging threats.

our Approach

Trust and security are not just industry standards we adhere to; they are deeply embedded in every facet of our operations.

This holistic approach to embodying trust at every level of our organization represents that when you affiliate with Finalis, you engage with a platform where trust and security are paramount, and opportunities are boundless. These measures are not just about protecting data; they are about reinforcing our promise to you, our clients, that every interaction on our platform is secure and trustworthy.