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COMPLIANCE AND INFRASTRUCTURE

Built for Regulation. Delivered with Confidence.

We’re not freelancers. We’re infrastructure.

SouthBay is designed from the ground up to meet the expectations of SEC- and FINRA-regulated firms combining airtight tech, principal oversight, and U.S. regulatory fluency.

Enterprise-Grade Security

01.

AWS Workspaces (VDI):

Secure virtual desktops with no local data storage

02.

Multi-Factor Authentication (MFA):

Multi-Factor Authentication (MFA):

03.

IP Restriction:

Limit analyst access to pre-approved locations/networks

04.

Endpoint Lockdown:

Analysts can’t download, copy, or forward data

05.

Session Monitoring:

Real-time audit logs and session history

Regulatory Alignment by Design

Series 24/7/66 Oversight:

Founder-led structure ensures U.S. regulatory adherence.

FINRA & SEC Ready:

Workflows, communication, and supervision aligned with U.S. standards.

Data Privacy Standards:

Operations structured to align with GDPR, ISO 27001, and U.S. privacy regulations.

SOC2-Aware Operations:

ENUM-backed infrastructure aligned to enterprise compliance best practices.

Trained for U.S. Investment Ecosystems

  • Analysts trained in U.S. terminology, compliance etiquette, and regulatory nuances
  • Knowledge of DOL fiduciary rules, SEC marketing updates, Reg BI, and IAR responsibilities
  • Admins and analysts familiar with custodians, CRMs, and BD-specific workflow nuances

You Don’t Just Stay Compliant, You Stay Confident.

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