DORA & SEC Readiness

Financial Services

Connect operational resilience, third-party oversight, incident readiness, and board-level governance evidence for financial services teams.

See how Westport Cyber helps banks, insurers, investment firms, public companies, and ICT providers evidence DORA and SEC cybersecurity obligations.

  • DORA evidence mapping
  • SEC disclosure readiness
  • Third-party risk oversight

Overview

Financial services organisations face a cybersecurity regulatory environment that is more prescriptive, more scrutinised and more consequential than almost any other sector. The challenge for most organisations is not a lack of awareness - it is the ability to demonstrate, at any point, that the right controls are in place, that third-party risks are being managed, and that leadership has the visibility required to meet their governance obligations.

DORA - the Digital Operational Resilience Act - came into force across the EU in January 2025, placing binding requirements on banks, insurers, investment firms and financial market infrastructure, as well as the ICT third-party providers that serve them.

In the US, SEC cybersecurity disclosure rules place explicit obligations on public companies around material incident reporting, board-level governance and the disclosure of risk management practices. For organisations operating across both jurisdictions, managing two distinct regulatory regimes from disconnected tools creates gaps that regulators and auditors will find.

Westport Cyber provides a single operational surface that supports both regimes - keeping compliance evidence, security posture and vendor risk connected to the same source of truth, regardless of which regulator is asking.

How Westport Cyber Maps to Financial Services Regulatory Requirements

ICT risk management framework

Article 6 - ICT risk management | Regulation S-K Item 106 - Risk management | Continuous configuration monitoring, risk-scored findings, remediation tracking

Third-party & supply chain oversight

Articles 28-30 - Third-party risk | Regulation S-K Item 106 - Risk management | Vendor assessments, OSINT monitoring, supply chain risk scoring

Incident detection & reporting

Articles 17-23 - Incident management | Regulation S-K Item 1.05 - Material incidents | Configuration monitoring, incident evidence records, governance documentation

Resilience testing

Articles 24-27 - Digital operational resilience testing | - | Control evidence, remediation records, posture history

Governance & board oversight

Article 5 - Governance & organisation | Regulation S-K Item 106 - Board oversight | Board-level reporting, posture dashboards, governance evidence

Policy documentation

Article 6 - ICT policies & procedures | Regulation S-K Item 106 - Policies | AI-powered policy analysis, gap identification, improvement recommendations

User awareness & training

Article 13 - Awareness & training | - | Phishing simulations, e-learning, completion and awareness evidence

Disclosure & reporting readiness

- | Form 8-K - Material incident disclosure | Auto-evidenced controls, audit-ready evidence base, compliance documentation

Concentration risk & vendor oversight

Articles 28-30 - Critical third parties | Regulation S-K Item 106 - Third parties | Multi-vendor risk management, OSINT signals, breach monitoring