OCC and SEC Compliance

OCC and SEC-Compliant solutions: Designed to meet the demands of today's financial industry

TCPWAVE

We provide knowledge and purpose for meeting OCC and SEC compliance requirements.

The Office of the Comptroller of the Currency (OCC) and the Securities and Exchange Commission (SEC) are regulatory bodies in the United States that oversee the banking and financial industry. The OCC regulates national banks and federal savings associations, while the SEC oversees investment advisers, broker-dealers, and other entities subject to its regulations.

IPAM
Information Security

Our solutions provide industry-leading security features that help protect against unauthorized access to sensitive information and systems. Our solutions are designed to ensure that only authorized personnel can access the system and that data is protected at rest and in transit. Our solutions offer robust access controls, authentication mechanisms, and data encryption, all of which are critical to meeting the information security requirements of both the OCC and SEC. Click here to learn more about our security.

Business Continuity Planning

Our solutions are designed to support business continuity planning, ensuring that our customers can continue to provide critical services in the event of a disruption or disaster. Our solutions are built with redundancy and high availability in mind, and they offer comprehensive backup and restore capabilities that help to ensure that data can be recovered quickly in the event of an outage. Our solutions also support multi-site deployments and disaster recovery, which are key components of a comprehensive business continuity plan. Click here to learn more about our continuity of business COB strategy.

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IPAM
Third-Party Risk Management

Our well engineered solutions help banks and financial institutions effectively manage the risks associated with the use of third-party service providers, including technology providers. Our solutions provide complete visibility into network and application traffic, allowing banks and financial institutions to detect and respond to potential threats quickly. Our solutions also enable banks and financial institutions to control and manage access to their networks, ensuring that only authorized third-party service providers can access sensitive systems and data. Click here to learn more about our secure B2B DNS Proxy Solutions to improve DNS Security.

Cybersecurity

Our solutions are designed to help banks and financial institutions meet the cybersecurity requirements of both the OCC and SEC. Our solutions offer a comprehensive set of features that help protect against cyber threats, including advanced threat detection and prevention capabilities, intrusion prevention and detection, and anti-malware and anti-virus protection. Our solutions also provide comprehensive reporting and analytics, enabling banks and financial institutions to quickly identify and respond to potential security threats. Click here to learn more about our threat intelligence to improve DNS Security.

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IPAM
Data Management

Our solutions are designed to help banks and financial institutions effectively manage their data, including customer data. Our solutions provide comprehensive data management capabilities, including support for data classification, storage, and retrieval. Our solutions also offer complete data audit trails and access logs, ensuring that banks and financial institutions can track who accessed what data and when. Our IPAM's Point in Time Recovery feature enables the restoration of database backups in the event of a disaster. With support for storing and retrieving backup files from AWS S3, our IPAM allows users to utilize database dumps stored on S3 to restore data and resolve any discrepancies. Click here to learn more about our backup and restore options in our solution.

System Development Life Cycle

Our solutions are designed to support the system development life cycle (SDLC) process, ensuring that banks and financial institutions can develop and deploy new technology solutions in a structured and controlled manner. Our solutions offer comprehensive testing and quality assurance features, including automated testing, load testing, and performance testing. Our solutions also provide robust change management capabilities, ensuring that all changes to the system are tracked and documented. Click here to learn more about built-in change management capabilities with support for ServiceNow verification. Our patch management solution can be used to deploy updates and upgrades centrally and efficiently.

ADC

Our enterprise-grade DDI solutions are designed to meet the most demanding requirements of banks, financial institutions, and other organizations subject to the regulatory requirements of the OCC and SEC. Our solutions provide comprehensive information security, business continuity planning, third-party risk management, cybersecurity, data management, and system development life cycle capabilities, all of which are essential for meeting the technology requirements of the OCC and SEC. Contact us today to learn more about how our solutions can help you meet these critical regulatory requirements.