Case Study: Registered Investment Advisor (RIA) achieves regulatory compliance and defends against cyber threats with eSentire Managed Detection and Response

RIA Takes Necessary Precautions to Comply with Increasing Regulatory Requirements and Defend Against Cyber Threats

Registered Investment Advisor, a New York City–based firm with 50+ employees, faced intensifying regulatory pressure (SEC, NYRCC 500) and rising cyber threats while managing sensitive client data. Rather than building an internal program, the firm engaged eSentire and its Managed Detection and Response™ and Advisory Services — including esRECON, esENDPOINT and esNETWORK — to meet compliance obligations and defend against advanced attacks.

eSentire deployed MDR plus Advisory Services (Virtual CISO, phishing campaigns, TRAP/DNS), with its SOC hunting, detecting and responding in real time. The service detected a remote‑control compromise and a zero‑day crypto‑malware that bypassed four other controls, remotely quarantining the infected host and stopping lateral spread; combined with annual policy reviews and daily alerts, eSentire has kept the firm protected for over 10 years and reduced regulatory and breach risk.