Financial services · GLBA-regulated RIAs + BDs and NCUA-supervised credit unions
Straitwatch runs a named 24/7 SOC for GLBA-regulated RIAs and broker-dealers and for NCUA-supervised credit unions — the artefacts an examiner verifies, the third-party / §314 vendor-risk evidence, and the after-hours wire and credential coverage a small advisor or core cannot staff — packaged into a flat monthly monitored bill sized for the regulated financial SMB.
stwp.financial / vertical signals
GLBA §314 third-party / vendor-risk evidence
The Safeguards Rule calls it "continuous monitoring" — your last spreadsheet does not.
NCUA Part 748 + ACET examiner evidence
When the credit-union examiner writes, the §748 response cadence should already be written.
After-hours wire + RDP / SaaS credential-stuffing
Overnight, the wire-transfer queue and the advisor SaaS login both go unmonitored.
The three pains a regulated RIA, BD, or credit union cannot close alone
The three scenarios below are the ones that book a regulated RIA, BD, or credit union into an evidence gap the first time the examiner writes. Each one pairs the firm-side reality with the artefact Straitwatch produces so the §314 / NCUA Part 748 / SEC OCIE / state-DFS inquiry has somewhere to land.
The Safeguards Rule calls it "continuous monitoring" — your last spreadsheet does not.
A small RIA or BD has custody of NPI and a stack of SaaS vendors — custodians, CRMs, document portals. When an examiner or a state regulator (NY DFS 23 NYCRR 500, SEC OCIE) asks for the §314 third-party risk program, the answer is not the vendor list — it is the dated monitoring evidence, the named owner, and the incident-response cadence. Small firms answer with a spreadsheet; Straitwatch writes the artefact.
When the credit-union examiner writes, the §748 response cadence should already be written.
A small credit union does not staff an examiner-facing evidence library. When Part 748 or a CISA ACET-mapped control write-up lands, the answer is the named analyst + the dated control output + the named incident-response cadence — run through the §748 / ACET rubric — not "we are still assembling the response." The credit union answers because the artefact was already written.
Overnight, the wire-transfer queue and the advisor SaaS login both go unmonitored.
A small advisor or credit-union core does not staff 24/7 monitoring. When a wire-fraud phishing kit lands at 11 pm or a credential-stuffing burst hits the advisor CRM, no one is on a call — and the §748 incident-response clock runs from an empty queue. The named detection engineer on a SOC rotation closes that gap, with the response timeline written to the artefact the examiner will sample first.
How Straitwatch fits a regulated RIA, BD, or credit union
The three pain points above map to three named deliverables. Each one is written, attributable to a SOC engineer, and ready for the examiner, the §314 vendor-risk reviewer, or the state-DFS / SEC OCIE reviewer before the inquiry ships.
Custodian, CRM, document portal, identity, DLP, and wire-pipeline telemetry is tabbed for a named shift analyst 24/7. The Monday note lands in your queue with a list of what was triaged, what was closed, and what escalated — not an empty overnight queue plus an incident that started without you.
AI surfaces the top ~1% of inbound signals; a named detection engineer validates, escalates, or closes each one. The containment decision and the detection-to-containment timeline land written, attributable to a real analyst — the named record the GLBA / Part 748 examiner or the SEC OCIE reviewer will ask for first.
Vendor-risk, §314 controls, Part 748 / ACET controls, incident records, and response timelines written in your framework cadence. The quarterly evidence pull is dated, the named engagement lead signs it, and the §314 / ACET / state-regulator inspection starts from a record you already own.
Every deliverable lands in writing — no “check the wiki” handoff.
The three signals above map to three named deliverables — 24/7 monitoring, a named detection engineer, and the §314 / NCUA Part 748 / SEC OCIE evidence library. Tell us what the firm or credit union handles today and we’ll size Straitwatch to the §314 review, the Part 748 examiner window, or the state-DFS / SEC OCIE review — or all three.