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The IT Checklist Cheat Sheet for Startup Financial Firms

By Mary Beth Hamilton | Thursday, July 16th, 2015

As a new firm, your to-do list is going to be lengthy: formation structures, legal requirements, service provider evaluation, etc. On the technology front, there are also a lot of items to think through. Here’s a quick IT checklist cheat sheet that financial firms should keep handy during the startup planning process.
Also, for more technology tips, download the Essential Tech Guide to Starting a Hedge Fund
IT Checklist for Financial FirmsNetworking & Infrastructure

  • Define networking requirements

  • Data circuits featuring N+1 redundancy

  • Voice circuits

  • Wireless and Local Area Network (LAN) capabilities

  • Delivery

  • Design network infrastructure: Cloud, On-Premise or Hybrid

  • Workstations (PCs, monitors, laptops, servers)

  • Peripherals (printers, phones, etc.)

  • Delivery


  • Business applications

    • Email

    • File services

    • Storage

    • Other resources

  • Evaluate front, middle and back office solutions

    • Trading and order management system

    • Accounting and/or portfolio management system

    • Market data and analytics tool(s)

    • Installation, maintenance and upgrades for all software

Business Resiliency & Security

  • Disaster Recovery

  • Business Continuity Plan, including written processes and procedures

  • Security layers including anti-virus software, host-based and network intrusion detection systems, firewalls, encryption and application filters

  • WISP (See Security Policies in Essential Tech Guide to Starting a Hedge Fund)

  • Email Archiving solution to meet investor/legal requirements (e.g. Dodd-Frank)

Security Policies & Documentation


For more, read our latest whitepaper, The Essential Tech Guide to Starting a Hedge Fund, which is a resource for managers looking to launch a hedge fund and seeking guidance with regard to technology. Download the complete guide and discover the top tech must-haves for emerging managers.

IT Checklist for financial firms

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