Coalfire.com | 877.224.8077 | info@coalfire.com CASE STUDY CLIENT CHALLENGE Like many organizations its size, this investment firm relied heavily on third-party IT service providers, and assumed passwords and firewalls provided adequate security. After attending an industry conference, senior management recognized that existing security controls might not sufficiently meet the increased scrutiny by regulatory bodies, specifically the SEC and FINRA, as well as a growing list of clients and prospects. Management needed an objective, third- party assessment of risk and controls maturity to prioritize remediation projects and make wise investment decisions. APPROACH Engaged Coalfire as an independent assessor organization. 1. Conducted a gap analysis to compare the

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