IT and Security Built for Firms That Hold Other People's Money
Your regulators want evidence. Your clients want to never hear about any of it.
Dallas is a financial-services hub. RIAs, broker-dealers, wealth managers, and private funds cluster from Uptown to the Tollway corridor, all handling data that makes them prime targets. Topping Technologies gives these firms a security-first IT partner that understands SEC, FINRA, and GLBA expectations and operates with the discretion their clients assume.
What Financial Services needs from an IT partner
Financial firms face a double bind: regulators want documented controls and rapid breach reporting, while clients want their wealth managed quietly and their data kept private. Most firms run lean, with no internal security team to satisfy either. We bring the documented safeguards examiners look for under SEC Reg S-P and the GLBA Safeguards Rule, the monitoring and response that stop an incident before it becomes a disclosure, and a discreet, named team that knows your environment. With one partner for both IT and security, your compliance posture and your daily operations answer to the same people.
Challenges we solve for Financial Services teams
SEC, FINRA & GLBA scrutiny
Examiners expect documented controls and incident-response plans. We build the safeguards and evidence that hold up under review.
Sensitive client data
Account numbers and PII make firms a top target, so we protect data at rest and in motion with encryption, access control, and monitoring.
Email-based fraud & BEC
Wire fraud and business email compromise hit finance hard, so we layer email security and verification controls that stop fraudulent transfers.
Discretion & reputation risk
A breach is also a trust failure, so we run a quiet, documented security program that protects the relationship as much as the data.
Lean internal IT
Most firms have no in-house security, so our SOC and vCISO services give you enterprise-grade coverage without the enterprise headcount.
Recordkeeping & retention
Communications and records carry retention rules, so we help configure and protect the systems that keep you compliant.
Managed IT & security built for Financial Services
Regulatory-aligned security program
Controls and documentation mapped to SEC Reg S-P, GLBA Safeguards, and FINRA expectations, so your firm stays audit-ready.
Managed detection & response
24/7 monitoring and EDR so threats are caught and contained before they become reportable incidents.
Email security & BEC defense
Advanced filtering, impersonation protection, and process controls that close the wire-fraud gap.
vCISO & security strategy
Fractional security leadership to guide policy, examiner readiness, and board-level reporting.
Data protection & access control
Encryption, least-privilege access, and DLP so sensitive client data stays where it belongs.
Microsoft 365 & cloud management
Secured, compliant productivity and collaboration with the retention controls finance requires.
Compliance & frameworks we support
We map a practical, audit-ready path through the frameworks that govern Financial Services in Texas, and we produce the documentation assessors actually want to see.
Frequently asked questions
Can you help us prepare for an SEC or FINRA exam?
How do you protect us from wire fraud and business email compromise?
Is your team discreet about our client information?
Do we need our own security staff if we work with you?
Related
Tell us about your Financial Services environment.
Walk us through where things stand and where you want to be, and we'll come back with a plan and a price, plus a service level we'll commit to in writing.