Finalis Securities utilizes an electronic system to maintain and preserve required records in accordance with Securities Exchange Act Rule 17a-4. An electronic record keeping system is defined as a system that preserves records in a digital format in a manner that permits the records to be viewed and downloaded.

According to the rule, records of numerous types of transactions must be retained and indexed on indelible media with immediate accessibility for a period of two years, and with non-immediate access for a period of at least six years.

Achieving this standard with an unqualified opinion serves as third-party industry validation that Finalis provides enterprise-level security for customers’ data sec ured in the Finalis platform.
This is a significant compliance and security milestone demonstrating Finalis’ ongoing commitment to the security and integrity of customer data.

Understanding the importance of secure access and identity management, Finalis has integrated Auth0 into the platform. This technology is an identity and access management platform that supports the principle of layered protection in security which uses a variety of signals to detect and mitigate attacks. Auth0 ensures that access to users data is safeguarded with advanced security features.

To continuously enhance our security posture, Finalis conducts comprehensive penetration testing and security reviews on an annual basis. These assessments are performed by external, independent experts to identify and address potential vulnerabilities before they can be exploited.

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 and maintain our commitment to safeguarding customer data against emerging threats.

Understanding that individual trustworthiness is only part of the equation, we are dedicated to ensuring that our teams, systems, and processes also reflect our core value of trust. 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 secured with the utmost integrity.