Hadrius

Hadrius is an all-in-one RegTech platform that automates SEC and FINRA compliance for financial firms. It is built to scale with the growing needs of firms and engineered for security from day one.

Our services include:

  • Transactional Surveillance — Monitoring of client and employee transactional activity
  • Communications & Marketing Review and Archiving — Supervision, review, and approval workflows for websites, digital comms and marketing content
  • Employee & Firm Oversight — Attestations, certifications, approvals, audits and vendor oversight
  • Filings — FINRA Gateway API integrations for U4/U5, licensing & registration, Form BR, and CE tracking

Please use this page to validate our security architecture, operational resilience as well as access policy documents and control evidence.

Privacy Policy

Compliance

SOC 2

Resources

Our SOC 2 report, penetration test and policies are available under NDA. Request access.

Controls

  • Unique production database authentication enforced
  • Encryption key access restricted
  • Unique account authentication enforced
  • Asset disposal procedures utilized
  • Production inventory maintained
  • Portable media encrypted
  • Data encryption utilized
  • Control self-assessments conducted
  • Penetration testing performed
  • Continuity and Disaster Recovery plans established
  • Continuity and disaster recovery plans tested
  • Cybersecurity insurance maintained
  • Data retention procedures established
  • Customer data deleted upon leaving
  • Data classification policy established