financial services compliance simplified
FTC Safeguards & Financial Compliance in 3-4 Business Days
Expert-led compliance assessments for non-banking financial institutions. Meet FTC Safeguards Rule requirements, protect customer data, and maintain regulatory compliance with comprehensive security evaluations.
FTC Compliant
Customer Data Protected
Audit Ready
Why companies need this
The FTC Safeguards Rule or NYS DFS is no longer optional — non-bank financial institutions face strict requirements to implement and maintain a comprehensive security program.
Regulators are actively enforcing compliance, and penalties for violations can be severe.
Acting now helps companies stay ahead of regulators and build trust with clients.
-
Compliance deadlines have already passed — enforcement is ongoing.
-
Regulators can impose civil penalties of up to $50,120 per violation.
-
Customers and partners increasingly demand proof of data protection.
-
A structured compliance program strengthens resilience against cyberattacks and breaches.
Why Financial Services Need Compliance Now
Financial services face increasing regulatory scrutiny, higher breach costs, and growing customer expectations for data security and privacy protection.
FTC Safeguards Rule Enforcement
The updated Safeguards Rule requires comprehensive cybersecurity programs. Non-compliance can result in significant penalties and regulatory action.
Financial Data Breaches
Financial services face the highest data breach costs at $5.97M per incident. Proper security controls are essential for protection.
Customer Trust
89% of consumers consider data security when choosing financial services. Compliance demonstrates commitment to protection.
How It Works?
Our streamlined 4-step process gets you from assessment to actionable results in just 3-5 business days.
1-hour Onboarding
Guided call with our expert to scope your environment and confirm your specific compliance requirements.
Smart Questionnaire
Receive a secure link to complete our intuitive assessment — quick, clear, and non-legal language.
3-day Delivery
Get a detailed gap report and tailored PoA&M covering every non-compliant control, plus Cybersecurity Posture Report.
1:1 Expert Consultation
One-hour session to walk through results, answer questions, and align next steps with your team.
Financial Services Frameworks
Comprehensive assessments for financial industry compliance requirements
FTC Safeguards Rule
Federal Trade Commission Safeguards Rule
Comprehensive assessment of information security program requirements for non-banking financial institutions
3-4 days
Requirements:
9 elements of information security program including risk assessment, access controls, and incident response
$1,900
NYS DFS
New York State Department of Financial Services Cybersecurity Requirements
Assessment of cybersecurity requirements for financial services companies operating in New York
4-5 days
Requirements:
23 cybersecurity requirements including governance, risk assessment, and third-party management
$2,200
FTC Safeguards Rule Coverage
Comprehensive assessment across all Safeguards Rule requirements
Information Security Program
Designated security officer
Risk assessment and management
Access controls and authentication
Encryption of customer information
Third-Party Management
Due diligence procedures
Contractual protections
Ongoing monitoring
Incident notification requirements
Incident Response
Incident response plan
Detection and monitoring
Notification procedures
Recovery and lessons learned
Why Choose Complify?
We've revolutionized cybersecurity compliance with our unique approach that combines speed, expertise, and comprehensive coverage.
Simple & Fast
Actionable results in 3–5 business days. No fluff, no delays.
One time fee
No subscriptions or lockins. Just a clear, small onetime cost.
Human experts
Consultants with deep financial services compliance knowledge — not an AI only platform.
20+ frameworks
Beyond FTC Safeguards Rule and NYS DFS: ISO 27001, SOC 2, PCI DSS, NIST CSF, HIPAA, CCPA and more.
What you get
Comprehensive assessment across all AI governance and risk management areas
Detailed Gap assessment
Detailed findings against the FTC Safeguards Rule or NYS DFS requirements
Tailored PoA&M
Clear remediation tasks with effort estimation, and priority to close every gap.
Cybersecurity Posture Report
Detailed cybersecurity analysis report covering readiness of 30+ security domains.
1:1 Expert Consultation
A dedicated session to debrief, plan, and align leadership and teams.
Frequently Asked Questions
Some of the most repeated questions.
No. We deliver a readiness gap assessment and PoA&M.
FTC Safeguards Rule: No filing, no official certification, but companies must be ready to prove compliance (self-assessments are common).
NYS DFS: Requires annual certification, originally self-attested, but now with stronger evidence requirements and active enforcement.
Standard turnaround is 3 business days after you complete the questionnaire (3–5 days total).
Yes. While this service is one time, we can scope follow up implementation projects separately if you’d like hands on support.
Onetime, expert led FTC Safeguards & NYS DFS compliance assessments. No subscriptions. Fast delivery.
This service provides readiness assessments and PoA&M; certification is performed by the client with accredited bodies.