Start the Conversation

Honeypot Field to Catch Bots
Honeypot Field to Catch Bots

Reporting on our compliance

DFIN establishes various controls to ensure the confidentiality, integrity and availability of client data. Cornerstones of DFIN cybersecurity are ensuring our security controls are operating effectively and measuring the effectiveness of governance, risk and compliance programs.

Icon 1

IT Governance and Risk

Learn about IT governance and risk @DFIN.

Icon 1

Reports and documents

Learn how DFIN demonstrates compliance throughout the enterprise. Request-up-to-date reports and other artifacts.

IT Governance and Risk

DFIN’s IT governance is comprised of processes by which we align our IT (development, infrastructure, cybersecurity) practices within our overall business strategy. As a key part of our overall IT governance efforts, we are able to ensure efficiency, security, and effective resource use, as well as compliance with both internal and external regulations.

Additionally, DFIN’s IT governance ensures that the needs of our stakeholders, including our clients, are evaluated to determine enterprise objectives, and are used to set direction (in decision making and prioritization) to monitor performance and compliance.

DFIN’s IT risk management program applies risk management methods to manage IT related threats. Our efforts involve procedures, polices and tools to identify, assess and remediate potential threats and vulnerabilities within DFIN’s information technology landscape. This includes both internal risk analysis as well as third party supplier risk (supply chain security).

Icon 1

IT Governance and Risk

Learn about IT governance and risk @DFIN.

IT Governance and Risk

DFIN’s IT governance is comprised of processes by which we align our IT (development, infrastructure, cybersecurity) practices within our overall business strategy. As a key part of our overall IT governance efforts, we are able to ensure efficiency, security, and effective resource use, as well as compliance with both internal and external regulations.

Additionally, DFIN’s IT governance ensures that the needs of our stakeholders, including our clients, are evaluated to determine enterprise objectives, and are used to set direction (in decision making and prioritization) to monitor performance and compliance.

DFIN’s IT risk management program applies risk management methods to manage IT related threats. Our efforts involve procedures, polices and tools to identify, assess and remediate potential threats and vulnerabilities within DFIN’s information technology landscape. This includes both internal risk analysis as well as third party supplier risk (supply chain security).

Icon 1

Reports and documents

Learn how DFIN demonstrates compliance throughout the enterprise. Request-up-to-date reports and other artifacts.

Reports and documents

DFIN’s GRC (Governance Risk and Compliance) team manages compliance activities across DFIN’s technology landscape to ensure our adherence with industry and governmental regulations. A large part of the GRC team’s efforts center around evaluation defining control frameworks and then evaluating and testing controls within those frameworks. Additionally, DFIN GRC’s Compliance team evaluates and tests our IT standards, policies and procedures via continuous assessment.

DFIN understands that compliance is critical to our clients’ needs and makes several different reports and assessments available for review.

We can provide additional information including our SOC 2 Type II report, once a Non-Disclosure Agreement is signed

Insider by Dfin

Our CISO, Dannie Combs, discusses security and regulatory compliance

Read the blog
Dannie Combs - Chief Information Security Officer

More findings, right this way

Resources

CSRD Readiness: Key Steps and Challenges for Compliance

View resource

Case Study

How We Helped a Leading Global Chemical Company Streamline their SEC Reporting and Increase Productivity

Read case study

Resources

EDGAR Next is Here. DFIN Has You Covered.

clark
View resource

Guide

Proxy Season Field Guide - 12th Edition

View guide

Video Podcast

Webinar Replay: Navigating DFIN’s Guide to Effective Proxies - 12th Edition

Watch podcast

Fact Sheet

ArcRegulatory®: Meet Form CPO-PQR Requirements with Greater Ease and Confidence

View fact sheet

Resources

SEC Form 12b-25

View resource

Resources

SEC Form 1-K

View resource

Resources

SEC Form 1-Z

View resource

Resources

The Role of Investment Banks in M&As

View resource

Resources

Legal Data Rooms: Secure Document Management and Collaboration for Legal Services

View resource

White Paper

Strategic Growth, Tech & ESG in Focus: CFO Outlook 2025

Read white paper

Resources

SEC Form F-6: Depositary Shares Registration

View resource

Resources

SEC Form F-1: Registration Statement for Foreign Private Issuers

View resource

Resources

Data Rooms for Startups: Secure Document Management and Efficient Fundraising

View resource

Case Study

How We Helped Hummingbird Bioscience Modernize its Financial Reporting Workflow with ActiveDisclosure

Read case study

White Paper

Leverage Expert Insights: Shape Your Global ESG Strategy

Read white paper

Article

Strong Investor Relations Drives Market Success

Dan Lieb
Read article

White Paper

Three Technologies for Future-Ready Financial Controllers

Read white paper

Resources

ESG Disclosure & Reporting Goes Mainstream in Asia-Pacific: What Private and Public Company CFOs Need to Know in 2024

View resource