IT Services for Financial Advisors and Wealth Management Firms in Miami
Ace Tech Systems helps Miami wealth management firms and registered investment advisers meet SEC Regulation S-P requirements, protect investor data, and pass regulatory examinations. The June 2026 compliance deadline is approaching fast.
SEC Regulation S-P: Your Compliance Deadline Is June 2026
The SEC amended Regulation S-P now requires all smaller registered investment advisers and broker-dealers to have a written incident response program in place by June 2026. Is your firm ready?
01
Written Incident Response Program Required
Your firm must have a documented, tested incident response program. Verbal policies do not satisfy this requirement.
03
SEC Examination Risk
SEC examiners are actively reviewing cybersecurity programs. Firms without documented controls face examination findings and potential enforcement action.
02
Customer Notification Requirements
You must notify affected customers of data breaches within 30 days. Most firms have no documented process for this.
04
FINRA Cybersecurity Expectations
FINRA requires a reasonably designed cybersecurity program with role-specific training and identity verification controls.
Our free Cybersecurity Risk Assessment shows exactly where your firm stands before an SEC examiner does.
What Financial Advisory Firms Risk Without Proper Cybersecurity
SEC Examination Failure
Examiners are asking for documented cybersecurity programs. Firms without written policies and tested controls receive deficiency letters and face enforcement action.
Investor Data Breach
Unauthorized access to investor personally identifiable information triggers mandatory notification requirements and potential SEC enforcement. Average breach costs exceed $4 million.
Cyber Insurance Denial
Insurance carriers now require MFA, endpoint detection, tested incident response plans, and security awareness training. Firms without these controls are being denied coverage at renewal.
How Ace Tech Systems Protects Miami Financial Advisors
Managed IT Support
Cybersecurity Protection
Written Incident Response Program
24/7 monitoring and helpdesk support so your advisors and staff always have fast, reliable, secure technology.
Endpoint detection, email security, and threat monitoring purpose-built for financial services environments.
We build and maintain the documented incident response program required by SEC Regulation S-P, tailored to your firm.
Dark Web Monitoring
Compliance Documentation
Backup and Disaster Recovery
Continuous scanning for compromised employee and client credentials on the dark web before attackers use them.
Written cybersecurity policies, risk assessments, and security controls documentation that satisfies SEC and FINRA examination requirements.
Immutable backups that protect investor data and firm records from ransomware. Rapid recovery to meet regulatory continuity requirements.
Start with a Free Cybersecurity Risk Assessment
We scan your network, audit your email security, run a dark web credential check on your domain, and map your current cybersecurity posture against SEC Regulation S-P requirements. No cost. No obligation. You keep the report.
Assessment Deliverables
Network vulnerability scan
Dark web credential check
Email authentication audit
SEC Regulation S-P compliance gap analysis
Trusted by Miami Financial Firms
“
The adaptable service terms and focus on financial industry compliance have been vital for our growth. Ace Tech Systems understands what wealth management firms actually need.
COO, FLORIDA WEALTH MANAGEMENT FIRM
Is Your Firm Ready for the June 2026 SEC Deadline?
Do not wait for an SEC examiner to find your gaps. Ace Tech Systems helps Miami wealth management firms build audit-ready cybersecurity programs with month-to-month contracts and no lock-in.
Bilingual English and Spanish support.