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IT Support for Inland Empire Financial Advisors and Insurance Agencies
Your clients trust you with account numbers, Social Security numbers and health and financial details. Integrity Tech helps advisory firms, broker-dealer branches and insurance agencies protect that information and keep their systems running.
The Rules Depend on How You're Registered
SEC-registered investment advisers and broker-dealers are covered by Regulation S-P. Amendments adopted in 2024 require a written incident response program and notice to affected individuals as soon as practicable, and no later than 30 days, after becoming aware of unauthorized access to sensitive customer information. Larger firms had to comply by December 3, 2025, and smaller firms by June 3, 2026.
Broker-dealers also answer to FINRA, including its rules on business continuity planning and supervision, and the SEC's recordkeeping requirements for business communications. Smaller state-registered advisers are overseen by the California Department of Financial Protection and Innovation and can fall under the FTC Safeguards Rule.
Insurance agencies are regulated mainly by the states. In California that means the Department of Insurance and the Insurance Information and Privacy Protection Act (Insurance Code sections 791 to 791.29), along with the state's general data security and breach notice laws (Civil Code 1798.81.5 and 1798.82). California has not adopted the NAIC Insurance Data Security Model Law, but agencies licensed in states that have may face additional requirements there.
What We Handle for Your Firm
Incident response planning
MFA and access control
Email security and archiving support
Secure file exchange
Backups and business continuity
Vendor and WISP documentation
Ransomware protection and monitoring
How We Work With Advisors and Agencies
Local Help for Inland Empire Advisors and Agencies
We're based at 9439 Archibald Ave in Rancho Cucamonga and work with professional offices throughout the Inland Empire. When something can't be fixed remotely, we come to you.
Nearby cities we serve: Rancho Cucamonga, Upland, Claremont, Ontario, Chino Hills, Corona, Riverside, Fontana, Pomona.
Financial and Insurance IT: Common Questions
Does Regulation S-P apply to my firm?
Regulation S-P covers SEC-registered investment advisers, broker-dealers, investment companies, funding portals and transfer agents. State-registered advisers are generally outside it but have their own state rules and can fall under the FTC Safeguards Rule. Your compliance consultant or attorney can confirm which apply.
What does the new incident response requirement mean in practice?
You need written procedures to detect, respond to and recover from unauthorized access to customer information, and to notify affected individuals within 30 days when sensitive information was or is reasonably likely to have been accessed. We help with the technical side: detection, logging, containment and recovery.
Are insurance agencies covered by the FTC Safeguards Rule?
Generally, no. Insurance is regulated by the states, so California agencies look to the Department of Insurance and the Insurance Information and Privacy Protection Act, along with California's data security and breach notice laws. Agencies licensed in other states should check those states' rules too.
Can you help with email archiving?
Yes. We set up and support the archiving and retention tools you choose. Your compliance team decides what has to be kept and for how long.
We're a small office. Is managed IT worth it?
Many advisory firms and agencies have a handful of staff. The data and the expectations from regulators, carriers and clients are the same regardless of size.
Ready to Transform
Your IT Infrastructure?
Set up a free strategy call today and see the difference Integrity can make for your business.