Financial services organizations face the most demanding regulatory environment in any industry. NY DFS, GLBA, PCI DSS, SOX, and the new SEC cybersecurity rules demand documented, current, defensible evidence — not policies written in 2022 and a scan from last quarter.
Most financial services firms are subject to multiple frameworks simultaneously. Pistos maps them all to a single CIS Controls v8.1 anchor — implement one control, satisfy every framework that requires it.
New York Department of Financial Services
The most comprehensive state cybersecurity regulation in the US. Requires a written cybersecurity program, annual penetration testing, CISO designation, board reporting, and annual Certification of Material Compliance. The 2023 amendment expanded requirements significantly — many firms filed certifications that do not reflect the amended requirements.
Gramm-Leach-Bliley Act — FTC / Banking Regulators
Requires financial institutions to develop, implement, and maintain a comprehensive information security program. The 2023 updated Safeguards Rule added specific technical requirements — encryption, MFA, vulnerability assessment, and incident response — that many existing programs do not address.
Payment Card Industry Data Security Standard
Any organization that processes, stores, or transmits payment card data must comply. Version 4.0 introduced customized implementation options and new requirements around targeted risk analysis, authentication, and web-based payment page security that took effect in March 2025.
Sarbanes-Oxley Act — SEC / PCAOB
Public companies must maintain effective internal controls over financial reporting, which PCAOB auditors assess through IT General Controls — access control, change management, computer operations, and security. Deficiencies in IT controls are material weaknesses in financial reporting.
Securities and Exchange Commission — 2023
Public companies must disclose material cybersecurity incidents within four business days and provide annual disclosures about cybersecurity risk management, strategy, and governance. Board-level oversight of cybersecurity risk must be documented and disclosed.
ACH Network — Originating Depository Financial Institutions
ACH originators must maintain a written security framework, conduct annual risk assessments, and provide phishing simulation training for ACH-access staff. ODFI agreements require documented fraud detection standards and workforce competency records.
NY DFS examiners, OCC supervisors, and PCI QSAs ask the same questions in every examination. Pistos is built around producing exactly what they need — before they ask.
Documented annual risk assessment required by NY DFS 500.09 and GLBA.
Sentinel produces a complete risk assessment report with inherent risk ratings, control scores, and remediation roadmap.
NY DFS 500.04 requires a qualified CISO responsible for the cybersecurity program.
Aegis provides the designated CISO function with documented responsibilities and board reporting.
Every framework requires documented training for all personnel.
Manthesis produces dated training completion records and phishing simulation results linked to each employee.
NY DFS 500.12 requires MFA for all remote access and privileged accounts.
Skopein reads actual MFA enforcement state — not what the vendor reports, but what is actually configured.
NY DFS 500.11 requires third-party service provider security policies.
Sentinel tracks vendor relationships and assessment status with evidence linked to each vendor record.
NY DFS requires annual Certification of Material Compliance by April 15.
Aegis prepares the certification supported by a complete, current Sentinel evidence record.
Request a briefing and we will map the Pistos platform to your specific NY DFS or GLBA examination requirements.
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