cybersecurity & Technology

Ernie Kappotis:

Don Pollard:



CyberSecurity Testing, Assessment & Audit Services


It is not about protecting an environment purely from cyber attacks or remote access threats, but rather about protecting all aspects of a corporation’s IT infrastructure. That is the vision of ICG’s Cybersecurity testing & audit team, focusing on security auditing, infrastructure reviews and full PCI compliance.

ICG has developed a comprehensive Cybersecurity Requirements Kit that address what is needed to comply with SEC rules. 

This Cybersecurity Requirements Kit is designed to outline the cybersecurity points an investments firm must contemplate and determine, in order to satisfy the SEC OCIE's September 15, 2015 Cybersecurity Examination Initiative. Intersource Consulting Group LLC (“Intersource”)has developed this instructional document for your financial services firm in its efforts to comply with the SEC’s cybersecurity regulations. 

This 9/15/2015 SEC Initiative strongly recommends that the following cybersecurity areas of focus be addressed by financial firms:

  •Governance and Risk Assessment

  •Access Rights and Controls

  •Data Loss Prevention

  •Vendor Management


  •Incident Response

 Intersource provides this Cybersecurity Requirements Kit as a basis for financial firms to establish their own customized set of Written Information Policies & Procedures (“WISP”), tailored to the specific business and information control environment of each firm. Over the past few years Intersource has consistently observed that the SEC & FINRA have been treating OCIE's September 15, 2015 Cybersecurity Examination Initiative as Regulation, as opposed to a set of strong recommendations. The WISP (Written Information Policies & Procedures) for an investments firm have been promulgated in the Governance and Risk Assessment cybersecurity area of the SEC OCIE Cybersecurity Examination Initiative. 

Information Technology

The financial services industry today is dependent on intelligent software, with a growing need to address IT infrastructure to deal with a market that is constantly changing. Our clients expect their operating needs to be looked after by a company that has a reliable team in place.

The IT infrastructure within the financial services industry has to support a range of complex financial transactions, such as trading, account processing and portfolio management to data storage and management pursuant to strict securities rules, such as SEC rule 17a-4. The demands of the industry have helped maximize ICG’s IT infrastructure efficiency due to wide-scale adoption of on demand services implementation.