Investment Companies

Information Security and Compliance Software for Investment Companies

Creating information security policies and procedures is an important part of protecting your customers, but making sure your program is practical and compliant can be a real challenge without the right resources. That’s where Tandem can help.

Compliance

Tandem is an all-in-one solution, designed to help you create and manage your investment company’s information security and incident response programs . We make changes to our suite of products in accordance with investment company guidance and regulations, which means you can partner with us to ensure your cybersecurity programs stay up to date.

Our software helps you maintain compliance with the following sources of regulatory guidance for investment companies.

  • Gramm-Leach-Bliley Act (GLBA)
  • Securities and Exchange Commission (SEC) Regulation S-P: Privacy of Consumer Financial Information and Safeguarding Personal Information
  • Financial Industry Regulatory Authority (FINRA) Rules and Guidance
  • Federal Financial Institutions Examination Council (FFIEC) IT Examination Booklets
  • Cybersecurity and Infrastructure Security Agency (CISA) Alerts and Tips
  • National Institute of Standards and Technology (NIST) Publications

Tandem Products

Tandem's entire suite of software-as-a-service (SaaS) products are designed to help investment companies improve their information security, stay in compliance, and lower overhead costs.

Audit Management

Conduct and respond to audits through a unique framework designed to help you manage, track, and report on the results.

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Business Continuity Planning

Define and outline plans and procedures to effectively manage operations before, during, and after a disaster.

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Compliance Management

Identify, schedule, and track important compliance projects and deadlines, such as reporting, audits, training, and operations.

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Cybersecurity Assessment

Complete and report on cybersecurity framework self-assessments. Report your growth plan and peer comparison data to management.

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Identity Theft Prevention

Create your Identity Theft Prevention Program document, along with customizable employee training for Identity Theft Red Flags.

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Incident Management

Prepare for security incidents by developing an incident response plan. When incidents do occur, track and document them throughout your incident handling process.

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Internet Banking Security

Create risk assessments for different types of customer e-banking accounts. Offer education to your customers with expert-designed security awareness materials.

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Phishing

Test and train your employees to recognize and avoid social engineering attacks by sending simulated phishing emails.

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Policies

Create and maintain your enterprise-wide policies in Tandem. Use our Information Security Policies set, tailored for your fintech company through a multiple-choice questionnaire.

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Risk Assessment

Perform an information security risk assessment, as well as individual information asset risk assessments with our easy-to-follow format in Tandem.

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Vendor Management

Manage contracts, documents, risk assessments, and other information related to your third-party relationships.

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"The Tandem Business Continuity Planning software has streamlined how we manage business continuity for our bank. Before Tandem, we lost files and had to update and make changes to a Word document. This software has helped us focus on the important aspects of business continuity and made it easier to update, train, and report to our Board of Directors."
Brandi Shiflett, EVP
Senior Operations Officer
North Dallas Bank & Trust Co in Dallas, TX
"Tandem’s Business Continuity Planning software is a strong program that integrates well with Tandem’s Vendor Management software. It provides good reports for our Board of Directors and Management. It is easy to update, and I am able to access it from anywhere… even on my phone."
James Tipton, EVP
Enterprise Risk Manager
North Dallas Bank & Trust Co. in Dallas, TX
"Tandem's Business Continuity Planning software has given us the direction we needed to establish good processes for our organization."
Ron Dittmann
VP of IT
Texas Trust Credit Union in Mansfield, TX
"Tandem is an excellent product that I highly recommend. It has helped us to fill the gaps regarding our BCP and Risk Assessments. It was a major help with our last NCUA exam with the addition of the ACET request list. I have nothing but great things to say about Tandem!"
Crystal Woodward-Smith
Compliance Officer
Hope Federal Credit Union in Jackson, MS
"First, I want to thank Tandem for being such a great partner of ours. We are extremely grateful for the tools you have provided. Particularly, your BCP program and the employee alert system. As of right now that is our main communication system for most of our employees."
"Tandem is extremely easy to use. I just started in the system (in earnest) and was able to quickly navigate through the steps. It’s very logical, comprehensive and I’m hopeful it will result in easier reports and exams. It’s a phenomenal option for a bank our size."
Robin Banell
VP of Compliance, Internal Control Officer
F & M Bank in Edmond, OK
"Thanks for all that you folks do to support and improve the software. We’ve been impressed with Tandem since day one; especially the responsiveness of the support and development teams with our needs and requests for new features. Thanks for all you do."
"We are so happy to have a partner like Tandem. Your products help our community bank compete with larger, regional and national banks without the expense of a huge staff."
Chris Manus
Information Technology Manager
Citizens Bank in Carthage, TN
"Tandem Vendor Management has made the process for collecting and tracking documents a breeze. The Vendor Management system is easy to use, yet quite powerful software. The software has saved us time from old spreadsheets and a manual vendor review process. I would highly recommend any organization to this system."
Kyle Moreland
Compliance Officer
Johnson City Bank in Johnson City, TX
"We started using Tandem for our vendor management program in late 2014. Right from the start we found the software easy to use and perfect for our needs. Their support team is responsive and friendly and continues to exceed our expectations. We find the free training sessions, videos, and knowledge base extremely helpful. Tandem has been a great business partner and it is a pleasure to work with them."

Ready to see what Tandem can do for you?

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