Our Commitment to Trust & Security
Top M&A bankers and placement agents trust us to move their deals forward quickly and safely. That trust is earned by delivering with integrity, transparency, and reliability.
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.
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 embedded in our approach.
At Finalis, we understand the importance of safeguarding sensitive information. Our security and compliance measures are designed to help protect client data and support a secure, reliable experience across our platform.