A compliance professional
Security & compliance

Security your auditors will recognise.

ISO 27001, ISO 27017 and ISO 27018 certified. A UK Government G-Cloud supplier. SOC 2 Type II, FINRA-grade books and records, GDPR and UK GDPR, environments segregated by jurisdiction and every state change logged.

Certifications

Audited by the people your auditors trust.

ISO 27001
Information security management
27017 · 27018
Cloud security and cloud privacy
SOC 2
Type II, audited annually
G-Cloud
UK Government approved supplier
The inventory

Named instruments. Not adjectives.

Affiliating with Floww moves the financial-promotion approval and the books-and-records obligation from you to us. Here is exactly what sits behind that.

Certifications and audits

Independently certified and independently tested, on a published cycle. The reports are available under NDA and usually returned inside 48 hours.

  • ISO 27001: information security management system
  • ISO 27017: cloud services security controls
  • ISO 27018: protection of personal data in the cloud
  • SOC 2 Type II: security, availability, confidentiality, processing integrity
  • UK Government G-Cloud: approved supplier
  • Independent penetration test, annually, across application, infrastructure and APIs
  • Coordinated disclosure programme with published remediation SLAs
Certification badge wall — ISO 27001 / 27017 / 27018 / SOC 2 / G-Cloud

Regulatory record-keeping

A regulated broker-dealer keeps records to a standard most platforms never encounter. That standard applies to every transaction on Floww, whether or not it is yours.

  • FINRA Rule 17a-4 write-once-read-many archival of communications and books and records
  • Section 21 financial promotion approval and record-keeping
  • Sanctions, PEP and adverse-media screening at onboarding and continuously
  • CDD and EDD aligned to FATF and FCA expectations
  • GDPR and UK GDPR: DPO appointed, lawful-basis register, ICO-registered
  • PCI DSS out of scope by design: Floww never stores cardholder data
Screening and verification in FlowwOS

Four permissioned environments

Each party sees only what they are entitled to see. Issuers control visibility. Advisors support the workflow without touching private investor data. The broker-dealer has its own regulated execution environment. Investors get a dedicated onboarding, signing and reporting experience.

  • Issuer workspace: documents, allocation decisions, engagement
  • Advisor workspace: workflow support, no ability to solicit or market
  • Broker-dealer workspace: compliance, supervision, execution, audit trail
  • Investor portal: onboarding, KYC, subscription documents, statements
Four permissioned environments diagram — Putnam deck p.3

Architecture and data

Encrypted in transit and at rest, in regions that match the regulator. Logical isolation per operator, with a portable investor passport and separate per-operator entitlements.

  • TLS 1.2+ in transit, AES-256 at rest, customer-managed keys for enterprise tenants
  • US workloads in the US, UK workloads in the UK
  • No cross-border copy without a licence basis
  • Every state change recorded as a replayable, exportable event
Data residency diagram — US and UK regions
How we decide

Three principles. No exceptions.

Regulator first, product second

If a feature cannot ship compliantly, we do not ship it. Every product decision clears legal and compliance review before development starts.

Customer data is yours

We process data on your instruction under contract. We do not sell it, train models on it or use it for anything outside the engagement.

Auditable by default

Every transaction, state change and user action is logged immutably. When a regulator asks, the answer already exists.

Vendor review

Run security review with us. Get the full pack.

Send your security questionnaire or vendor-review template. We respond with the SOC 2 report, ISO certificates, penetration-test letter, sub-processor list and DPA, typically within 48 hours.