Security and privacy for financial services.

Financial services firms operate under some of the most demanding security and privacy obligations in any sector. Principle Defence delivers compliance that holds up in practice, not just on paper.

0 %

of financial services firms reported a significant cyber incident in 2023 (FCA/NCSC)

0 %

increase in reported cyber incidents to the FCA between 2022 and 2023

£ 0 M

maximum FCA fine for serious data/cyber failures under DORA and UK frameworks

Financial services firms face layered, escalating risk.

Banks, fintechs, insurers, IFAs, and accountancy practices hold the most sensitive combination of personal and financial data of any sector. That makes them a consistent target for cybercriminals — and a consistent focus for regulators.

The FCA’s operational resilience requirements came into force in March 2022, with full compliance expected by March 2025. DORA (the Digital Operational Resilience Act) extends obligations for firms operating across the UK and EU. At the same time, the Bank of England’s CBEST and TBEST frameworks set a high bar for firms in scope.

Supply chain and third-party risk is an increasing concern. Many smaller financial services firms find themselves subject to security requirements imposed by enterprise clients or platform partners — including ISO 27001 certification as a contract prerequisite.

Principle Defence works with financial services organisations of all sizes — from boutique advisory firms through to regulated fintechs — delivering risk-based, proportionate security and privacy programmes that satisfy regulators, clients, and insurers alike.

Our Services

ISO 27001 Implementation

Gap analysis, ISMS design, implementation, and audit preparation. We guide financial services firms through first certification and ongoing maintenance.

Privacy & GDPR Compliance

Comprehensive GDPR compliance support — including DSAR management, DPIAs, privacy notices, records of processing, and regulatory breach notification procedures.

Cyber Essentials & CE Plus

Certification body support for Cyber Essentials and CE Plus — increasingly required by public sector and enterprise clients as a minimum security standard.

Operational Resilience

Advisory support for FCA operational resilience requirements — mapping important business services, setting impact tolerances, and evidencing compliance.

Virtual CISO / Virtual DPO

Experienced security and privacy leadership on a flexible, cost-effective basis. Suitable for firms that need board-level accountability without a full-time hire.\

Staff Awareness Training

BCS-accredited training covering data protection, information security, and cyber risk — tailored to the financial services context and regulatory environment.

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