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.
SOC 2 Type II
Certified
GDPR
Ready
SEC / FINRA
Compatible
CCPA
Compliant
Security Features
Defense in Depth
Multiple layers of security controls protect your data at every stage of the pipeline — from ingestion to delivery.
SOC 2 Type II Compliant
Independently audited controls for security, availability, and confidentiality. Annual recertification with continuous monitoring between audit cycles.
End-to-End Encryption
AES-256 encryption at rest and TLS 1.3 in transit. Your data is encrypted at every stage — ingestion, processing, storage, and delivery. Key management via HSM.
Role-Based Access Control
Granular RBAC with entity-level permissions. Control who sees what across funds, entities, and data domains. SSO integration and MFA enforced for all users.
Complete Audit Trail
Every data access, modification, and export is logged with user, timestamp, and context. Immutable audit logs retained per your retention policy for regulatory review.
Data Residency Options
Choose where your data lives. US, EU, and APAC deployment options available. Meet jurisdiction-specific data sovereignty and residency requirements.
Penetration Testing
Annual third-party penetration testing and vulnerability assessments by certified professionals. Continuous automated scanning with real-time alerting on any findings.
Compliance
Built for Regulated Industries
Alternative asset managers face unique regulatory requirements. PLEXI 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
SOC 2 Type II
CertifiedIndependently audited annually by a Big Four affiliate. Continuous monitoring between cycles.
GDPR
ReadyData processing agreements, EU data residency, DSAR workflows, and right-to-erasure support.
SEC / FINRA
CompatibleBooks and records retention (Rule 17a-4), complete audit trail, granular access controls.
CCPA
CompliantCalifornia consumer privacy compliance with automated handling and disclosure capabilities.
Request Security Documentation
We share our SOC 2 report, penetration test summary, and security architecture documentation under NDA.