INDUSTRIES / Financial Services
INDUSTRIES, FINANCIAL SERVICES
APRA CPS 234. AFSL obligations. SOC 2 readiness.
AFSL holders, AFS licensees, super funds, private wealth advisors, fintech operators and regulated payments businesses. Where audit, attestation and incident reporting obligations meet day-to-day operations. We've built the baseline before, and we maintain the documentation.
WHAT WE RUN FOR FINANCIAL SERVICES
Managed IT for financial services, run by one team.
Systems that stay up in market hours
The platforms your advisers and back office rely on stay available through trading and business hours, with the software providers managed on your behalf.
Client and firm data kept apart
Adviser, client and firm information is walled off so the wrong person never sees the wrong file, with a clear record of who accessed what.
Evidence your auditors accept
The controls behind your obligations are documented and the evidence captured as work happens, so an APRA or ASIC review is a report you produce, not a scramble.
Calls and records kept properly
Adviser calls and records are captured and retained for the periods your regulator requires, and searchable the moment you need them.
Back up and running fast
Firm and client data is safely copied and quickly restored, so a failed device or an attack does not stop trading or lose records.
Devices and offices looked after
Every computer, laptop and mobile across your offices, set up, secured and maintained.
Help the moment something breaks
Real engineers answer when a system goes down mid-trade, not a ticket that sits for a day.
Work securely from anywhere
Advisers and staff work safely from the office, home or a client site, with the same protection and controls.
A CLEAN AUDIT, OR A BREACH NOTIFICATION
The difference is controls that produce their own evidence.
When a regulated firm is breached it is not just downtime. Client money and sensitive financial data can be exposed, and you may face breach notification, an ASIC or APRA please-explain, and hard questions about controls you thought were in place. Proactive security means the evidence is already there and the breach never happens.
WITHOUT PROACTIVE IT
The week the regulator calls
An adviser mailbox is compromised and client financial records are exposed. Now you are notifying clients and the regulator, proving which controls existed, and explaining a gap you did not know you had.
WITH BASEHOST
A normal week
The suspicious email is blocked, client data stays walled off, and clean backups restore a single device the same day. Your control evidence is already captured, so there is a logged event and a report, not a notifiable breach.
WHAT WE TYPICALLY DELIVER
The financial services baseline
REGULATION
APRA CPS 234 alignment
Your information security controls documented and tested, with an evidence pack ready for your annual review and mapped to the risk frameworks you already use.
AUDIT-READY
SOC 2 readiness
The SOC 2 criteria mapped to your environment, with control evidence captured as work happens and any gaps prioritised for you.
RECORDING
Compliance call recording
Adviser call recording built in, retained for the periods ASIC requires, and searchable the moment you need to produce it.
RESILIENCE
CPS 230 operational resilience
Your critical operations mapped, tolerance levels set, scenarios tested, and a register of the third parties you depend on, the way CPS 230 expects.
DATA
Client and firm data kept apart
Adviser, client and firm data kept separate, with controls that stop confidential information leaving by accident and barriers between conflicting engagements.
INCIDENT
Incident response & reporting
A practised plan for a breach: who acts, how fast, and the client and regulator notifications ready to go, so a bad day is handled inside your reporting deadlines.
ALWAYS ON
Your systems, watched around the clock.
Your systems are monitored day and night, and every warning is checked by a real engineer, not ignored. The problems that cannot wait are handled straight away, and your control evidence keeps building while you sleep.
FREQUENTLY ASKED
Common questions
What IT and security do financial services firms need?
Can you help us meet APRA CPS 234 and CPS 230?
Can you support our advice and CRM software?
How do you handle client data and breach reporting?
Are you Melbourne-based, and do you support firms interstate?
WHAT WE SOLVE FOR FINANCIAL SERVICES
IT that produces the evidence your compliance team needs.
APRA prudential standards (CPS 230 and CPS 234), AFSL operational obligations, call recording retained to the timeframes your regulator sets, fraud monitoring, and tamper-proof records on the systems that matter. We have supported brokers, advisers, fund managers and lenders, with the controls in place and the paperwork that comes with them. Third-party risk is run on documented evidence, not questionnaires answered from memory.
Financial services IT must produce evidence on demand. Our managed delivery generates the trail your compliance team needs without their having to ask, and the trail holds up when ASIC or your auditor wants to see it. Incident response timeframes for material breaches are documented and rehearsed.
AFSL holder or APRA-regulated entity? Posture review by a senior engineer.
One-hour review focused on your CPS 234 and CPS 230 posture and SOC 2 readiness, with a written gap analysis delivered within five business days, whether or not you work with us.
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