Security & Compliance
Enterprise-Grade
Security
Your data is your alpha. We protect it with the same rigor you would expect from a prime broker - because we have built systems for them.
GDPR
Ready
SEC / FINRA
Compatible
CCPA
Compliant
SOC 2 Type II
On Roadmap
Security Features
Defense in Depth
Multiple layers of security controls protect your data at every stage of the pipeline - from ingestion to delivery.
Encryption in Transit
All data transmitted between clients and the platform is encrypted via TLS 1.3. Connections are mutually authenticated and sessions are time-limited. Storage-layer encryption configuration is documented per engagement.
Role-Based Access Control
Granular RBAC with entity-level permissions. Control who sees what across funds, entities, and data domains. SSO integration available; MFA enforced for all production users.
Audit Logging
Data access, modification, and export events are logged with user identity, timestamp, and context. Audit log retention policy and review tooling defined per engagement to match your regulatory framework.
Data Residency
Deployment region is agreed at contract. US-based deployment is standard. EU and APAC options available for clients with jurisdiction-specific data sovereignty requirements.
Security Review Program
Security architecture documentation, data flow diagrams, and completed vendor security questionnaire responses are provided to qualified prospects under NDA. SOC 2 readiness programme on roadmap; control documentation available under NDA.
Responsible Disclosure
We operate a responsible disclosure program. Security findings reported through our contact channel are reviewed and acknowledged within 48 hours. Vulnerability scanning runs continuously across the production stack.
Compliance
Built for Regulated Industries
Alternative asset managers face unique regulatory requirements. PlexiFact is architected to support SEC, FINRA, and GDPR compliance from the ground up - not as an afterthought.
- Immutable audit logs with complete data lineage for regulatory review
- Automated compliance reporting for SEC Form PF, CPO-PQR, and AIFMD
- Data subject access requests (DSAR) handled through built-in governance tools
- Configurable data retention policies per jurisdiction and entity
- Real-time monitoring and alerting on compliance-relevant data changes
Certifications & Standards
GDPR
ReadyData processing agreements, EU data residency, DSAR workflows, and right-to-erasure support.
SEC / FINRA
CompatibleBooks and records retention compatible with Rule 17a-4. Complete audit trail and granular access controls.
CCPA
CompliantCalifornia consumer privacy compliance with automated handling and disclosure capabilities.
SOC 2 Type II
On RoadmapAudit programme on roadmap. Current control set and security documentation available under NDA on request.
Request Security Documentation
We share security architecture documentation, data flow diagrams, and completed vendor security questionnaire responses under NDA. SOC 2 readiness on roadmap - reach out for current control set under NDA.