Security Compliance

Security policies, procedures, and infrastructure compliance for Ethical Capital

1 Security Compliance

1.1 Overview

Ethical Capital maintains a comprehensive security posture across all systems and infrastructure, with particular emphasis on SEC Rule 204-2 compliance and data protection.

1.2 Access Control & Authentication

1.2.1 Cloudflare Access Security

Default-deny security configuration protecting all internal resources while maintaining public site accessibility.

Key Features: - Zero Trust architecture - Email-based authentication (@ethicic.com) - Automatic protection for new resources - Comprehensive audit logging

Protected Resources: - Matrix vector search system - Internal documentation - All development and internal subdomains

1.3 Infrastructure Security

1.3.1 Network Security

• Cloudflare DDoS protection
• TLS/SSL encryption for all endpoints
• Secure DNS configuration
• Geographic access controls where appropriate

1.3.2 Application Security

• Input validation and sanitization
• Secure coding practices
• Regular security updates
• Vulnerability scanning

1.4 Data Protection

1.4.1 SEC Rule 204-2 Compliance

• Access controls for all records systems
• Audit trails for data access
• Data retention policies
• Secure data disposal procedures

1.4.2 Encryption

• Data at rest encryption
• Data in transit encryption
• Key management procedures
• Certificate management

1.5 Monitoring & Incident Response

1.5.1 Security Monitoring

• Real-time access logging
• Anomaly detection
• Failed authentication monitoring
• Regular security audits

1.5.2 Incident Response

• Defined response procedures
• Containment strategies
• Investigation protocols
• Recovery processes

1.6 Compliance & Auditing

1.6.1 Regular Audits

• Weekly: Access log reviews
• Monthly: Policy testing
• Quarterly: User access reviews
• Annually: Security architecture review

1.6.2 Compliance Frameworks

• SEC Rule 204-2
• SOC 2 Type II considerations
• Data privacy regulations
• Industry best practices

1.7 Security Policies

1.7.1 Access Management

• User provisioning and deprovisioning
• Role-based access control
• Session management
• Multi-factor authentication policies

1.7.2 Data Handling

• Data classification schemes
• Handling procedures by classification
• Secure transmission requirements
• Backup and recovery procedures

1.8 Training & Awareness

1.8.1 Security Training

• New employee security orientation
• Regular security awareness updates
• Incident response training
• Compliance training

1.8.2 Documentation

• Security procedures documentation
• Emergency contact information
• Escalation procedures
• Vendor security requirements

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1.9 Quick Links

• Cloudflare Access Dashboard: Zero Trust Portal
• Access Logs: Security Monitoring
• Security Testing: /dev/matrix/test-access-policies.sh

Security Status: ✅ All systems operational and monitored