NEW YORK, Nov. 24, 2025 /CNW/ – A pervasive cloud of confusion currently engulfs the realm of cybersecurity within Microsoft 365.
This predicament poses significant challenges for FINRA firms striving to adhere to Rule 17a-4.
FINRA on the cloud (CNW Group/AdvisorVault)
Particularly for smaller institutions lacking dedicated technical support, navigating today’s cyber threats is an arduous task.
However, it becomes imperative for these entities to optimize their cybersecurity measures, lest they jeopardize their reputations or, worse yet, incur substantial fines due to negligence.
Given that the cloud is not inherently compliant with 17a-4 standards—particularly by FINRA’s stringent criteria—AdvisorVault has orchestrated a comprehensive four-step framework, tailored specifically for small FINRA firms.
This initiative is designed to ensure robust cybersecurity on Microsoft 365. Consequently, firms gain a definitive approach to achieving 17a-4 compliance in the Microsoft Cloud, fortifying their standing with regulatory bodies.
AdvisorVault’s four-step strategy for enforcing FINRA cybersecurity on the Microsoft Cloud includes:
Step One
Implement “In-line” email filtering to safeguard communications within Microsoft 365, featuring:
- Advanced AI-driven email filtering.
- Protection for internal, external, and outgoing messages prior to reaching user inboxes.
- Defenses against phishing, malware, and ransomware through file and attachment scanning.
- Real-time URL click prevention via URL rewriting, supplemented with data loss prevention and encryption.
Step Two
Install a plug-in to enhance security and monitoring of the Microsoft tenant, incorporating:
- Proactive monitoring and fortified security with best practice cloud configurations.
- Detection of logins from unauthorized locations or devices, including identifying unapproved applications.
- Audit trails documenting changes in security configurations, alongside mechanisms to block dubious sign-ins and promptly disable compromised accounts.
Step Three
Deploy real-time endpoint security antivirus software:
- Catering to desktops, laptops, both physical and virtual servers, macOS, iOS, and Android devices.
- Facilitating local application scanning of web traffic, which includes blocking both known and latent malicious entities; antivirus detection and anti-malware measures.
- Ransomware detection and mitigation, obstructing unusual encryption attempts, and restoring files to their original state from backup in case of compromise.
Step Four
Implement comprehensive employee Security Awareness Training, encompassing:
- Automated testing coupled with training programs to educate employees about cyber threats.
- Simulated phishing scenarios, fostering an understanding of contemporary risks, promote adherence to cybersecurity protocols within the firm.
- Instructional videos are designed to help staff recognize indicators of potential attacks, enhancing their skill set to thwart phishing endeavors.
- Automated progress tracking, providing personnel with insights into their advancement, including records of phishing report incidents and instructional tutorials for continuous learning.
Source link: Finance.yahoo.com.
