Digital Governance Service

Minimum effort to keep your client promises of data protection, service availability, supplier management and service resilience. Easy compliance for access & storage of KYC, Fact Finds and sensitive client data. Cyber Essentials certification included too.

The challenge

To compliantly request and manage client information, store & guarantee accuracy.

Data storage risks.

You will be requesting and storing a large amount of sensitive client information. KYC, fact-find or ongoing financial data. Data needs to be stored for compliance and operational use. Digital storage presents risks to financial advisors such as legal and reputational.

Mitigate these example risks


Your clients data will be stored on one of more cloud providers (website, emails, CRM, advisor platforms etc). Your one login will typically have oversight of all clients data, the provider will put a layer of protection but these alone aren’t sufficient to assure the protection of your account. What if your account is breached? Part of a group? Security is still the individual firms responsibility. Our service identifies & reduces risks immediately and into the future.


You will rely on the cloud provider to ensure that the system is always available and the data is maintained. The cloud provider typically assures this at service level i.e. for all clients and not on an individual level. What if your team inadvertently deletes data? What if a rogue employee deletes data? What if you want to recover to a specific date for compliance? Guess what – you can’t. Our service assesses all recovery risks & supports risk closure.

Data Protection

The storage, storing or processing of data places a legal responsibility (GDPR) on your business as you are now a data controller. This also applies if you are part of a group. The data you process as part of KYC is defined as high risk personal identifiable information. Saving reports from cloud solutions, emailing to clients and/or storing on devices/network drives or cloud storage provides an opportunity for a data leak. Our service ensures you identify, close and monitor gaps with ease.



Records exposed by
data breaches in Q4 2023
GDPR violation fine for
Tuckers Solicitors LLP


Free Assessment

Free Assessment

Question – does the scope of their service & contract cover all of these risk areas, are they responsible with ensuring you mitigate these risks and proactively advise, guide and monitor for new risks? Typically their scope is limited to your website, devices, printers, office networks etc and they don’t cover cloud software, GDPR compliance, resilience planning, supporting your continual service delivery.

Answer – This is our core, we specialise in supporting financial advisor firms such as yourself. Our service is friction-less, high value, involves minimum team distractions and we bet that it costs less than going it alone or asking your IT Supplier. Why not contact us today, for a free and confidential assessment of key risks facing your business – awareness is the start.

Case Study – Email

Helping you communicate with clients at all stages; prospecting, introduction, information gathering, engagement, research & recommendation, implementation and on-going service. Nearly all clients have email, and use these to share information with you quickly and easily. Have you ever considered the amount of information contained in the interactions with just 1 client?

Some service benefits

Cloud software backup

We take the hassle out of backing up your and your clients cloud data. One time setup, held securely for when you need it.


Tailored for financial advisors – policies and procedures specific for your organisation, team training & awareness.

Cyber Essentials Certification

Protecting your firm from the majority of cyber attacks (as recognised by the NCSC), together we close gaps then we certify you.

Employee Training

Included in our service is training & testing materials to ensure your team are trained for the latest Cyber threats & data protection.

Meet, Email or Call

Get Started Today

Get Started Today

Our clients typically spend less than 3 hours per employee closing the majority of digital risks we identify, the majority spent in training.

Platform at your fingertips

As part of our service we provide you with a digital governance platform, this is your organisations hub to manage your IT governance. It is crammed with useful guides, policies and procedure templates. Even better the templates will be pre-populated with relevance to your organisation; for example your suppliers, your software and the specific data you process. This enables you to demonstrate compliance to GDPR practices, Cyber best practices and industry leading IT governance practices.


We received value from day one. The team are responsive and require minimal time from us, they just get the job done

Nick aston

Ready to start?

Contact us today for a free, confidential no-obligation chat