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The IT Checklist Cheat Sheet for Startup Financial Firms

By Eze Castle Integration | Thursday, June 20th, 2019

As a new firm, your to-do list is probably going to be quite lengthy. It will include things such as formation structures, legal requirements, service provider evaluation, etc. On the technology front, there are also many items to think through. Here’s a quick IT checklist cheat sheet that financial firms should keep handy during the startup planning process.
To learn what today’s investment management firm CTOs can do to tackle the top 7 technology challenges, download the Top Technology Challenges for CTOs and How to Avoid Them
Networking & Infrastructure

  • Define networking requirements

  • Data circuits featuring N+1 redundancy

  • Voice circuits

  • Wireless and Local Area Network (LAN) capabilities

  • Delivery

  • Design network infrastructure: Cloud, Public or Private

  • 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 steps to create an Information Security Policy here)

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

Security Policies & Documentation


For more, read our latest whitepaper, Outsourcing in the Alternative Investment Management Industry, which is a resource for investment firms in regards to the current outsourcing landscape, the benefits and risks of outsourcing business functions, structuring outsourcing agreements and balancing responsibilities, and best practices on managing the critical elements of vendor due diligence. Download the complete guide and discover the top tech must-haves for the investment industry.

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