Microsoft 365 for Financial Services
Secure, FCA-Compliant Cloud Productivity for Financial Advisers and Wealth Managers
Your firm needs to manage client portfolios, communicate securely about sensitive financial matters, and demonstrate FCA compliance - all while working remotely and collaborating across teams. Microsoft 365 delivers this when configured correctly for financial services.
Not sure which tier fits your business? Book a free 20-minute consultation - we'll assess your setup and recommend the right fit. No pressure, no sales pitch.
Why Financial Services Firms Choose Microsoft 365
Work From Anywhere Securely
Access client portfolios, emails, and documents from office, home, or client meetings. Full desktop apps plus web and mobile versions - all with FCA-grade security controls.
Real-Time Collaboration
Multiple advisers reviewing the same financial plan simultaneously. Version control tracks every change. Collaborate on recommendations without emailing sensitive documents.
FCA-Compliant Communication
Email archiving for COBS compliance, encrypted client communications, and full audit trails. Meet FCA record-keeping requirements with retention policies configured for financial services.
Secure Client Portals
SharePoint-based client portals eliminate insecure email attachments. Clients access their documents, reports, and statements securely. Track who viewed what and when.
Data Loss Prevention
Prevent accidental disclosure of client financial information. DLP policies detect and block sensitive data from leaving your organisation via email or file sharing.
Always Up-to-Date
Latest versions of Word, Excel, Outlook included. Security patches applied automatically. Stay current without the disruption of major Office upgrades.
What's Included in Microsoft 365 Business
Core Productivity
- Outlook - Professional email with 50GB+ mailbox
- Word - Document creation and suitability letters
- Excel - Financial modelling and portfolio analysis
- PowerPoint - Client presentations and reviews
Collaboration
- Teams - Client meetings, video calls, secure chat
- SharePoint - Client portals and document libraries
- OneDrive - 1TB personal cloud storage per user
- Planner - Client review tracking and task management
Security (Business Premium)
- Intune - Mobile device management
- Defender - Advanced threat protection
- Conditional Access - Control who accesses client data
- Data Loss Prevention - Prevent data breaches
Ready to See Where You Stand?
Choose your starting point:
How We Configure M365 for Financial Services
Anyone can buy Microsoft 365 licenses. The difference is in the configuration. Here's what we set up specifically for financial services firms:
FCA Compliance Configuration
Email archiving meeting COBS requirements. Retention policies for 7-year record-keeping. Audit logging for all document access. eDiscovery capability for regulatory investigations.
Secure Client Communication
Encrypted email for financial information. SharePoint client portals replacing insecure attachments. Teams meetings with recording for compliance. All communications logged and retained.
Data Loss Prevention
DLP policies detecting National Insurance numbers, account numbers, and financial data. Automatic blocking or encryption of sensitive information leaving the organisation. Real-time alerts for policy violations.
Mobile Security for Advisers
Intune policies protecting client data on phones and tablets. Remote wipe if device lost. Prevent copy/paste from Outlook to personal apps. PIN and biometric requirements enforced.
Conditional Access Controls
MFA required for all users. Block logins from high-risk locations. Restrict access to managed devices only. Prevent client data access from public computers or networks.
Teams for Client Reviews
Branded meeting experience. Lobby controls. Recording capability for compliance. Screen sharing configured to prevent accidental disclosure. Meeting transcription for record-keeping.
Integrations With Your Financial Software
Microsoft 365 works alongside your CRM, portfolio management, and back-office systems:
Intelligent Office
Outlook integration for client communications, SharePoint for document storage, Teams notifications for client milestones and review dates.
Salesforce Financial Services Cloud
Outlook integration for logging emails, OneDrive for proposal storage, Power Automate workflows for pipeline management and client onboarding.
FNZ & Praemium
Excel exports for portfolio reporting, SharePoint for client document management, Power BI integration for performance dashboards.
Back Office Systems
Integration with Xplan, Advisor Platform, Transact and other systems. Document management sync, single sign-on where supported, automated reporting workflows.
Our Microsoft 365 Migration Process
Discovery
Audit your current email, document storage, and client communication methods. Identify FCA compliance requirements and sensitive data handling needs.
Planning
Design tenant with FCA compliance in mind. Plan client portal structure. Map data retention requirements. Schedule migration around quarter-end reporting.
Setup
Configure security policies and DLP rules. Set up client portals and retention policies. Configure integration with portfolio systems. Test thoroughly before migration.
Migration
Move mailboxes, client files, and documents. Preserve email threads and folder structures. Usually completed over a weekend to minimise disruption to client service.
Training
Adviser training on secure communication, client portals, and Teams. Compliance-focused guidance. Ongoing support as the team adapts to new workflows.
Microsoft 365 Licensing for Financial Services
Microsoft licensing is separate from our management services. Here's what the licenses cost:
Business Basic
Web and mobile apps only
- Outlook, Word, Excel (web only)
- Teams
- SharePoint
- 1TB OneDrive
Suitable for: Admin staff, paraplanning support
Business Premium
Full desktop apps + security
- Everything in Basic, plus:
- Desktop Word, Excel, Outlook
- Intune device management
- Defender for Office 365
- Conditional Access
- Azure AD Premium P1
Suitable for: Financial advisers, paraplanners, partners
E3/E5
Enterprise features
- Everything in Premium, plus:
- Advanced compliance tools
- Unlimited archive mailbox
- Advanced eDiscovery
- Power BI Pro (E5)
Suitable for: Large wealth managers, compliance-heavy firms
Our recommendation for most firms: Business Premium for advisers and partners, Business Basic for support staff. This provides the security features essential for FCA-regulated firms.
*Note: prices correct at time of writing, Microsoft reserve the right to update their licensing cost and product entitlement.
Ongoing Management Options
Migration Only
We set up and migrate you to Microsoft 365, then hand over management. You handle it internally or with your existing IT provider.
One-time project fee
H-Protect Managed
Migration included, plus ongoing management as part of H-Protect. We handle user management, security monitoring, FCA compliance updates, and support.
From £55/user/month (includes M365 management + full security stack)
Co-Managed
Your IT team handles day-to-day operations. We manage the security configuration, monitor for threats, and maintain FCA compliance posture.
Custom pricing based on scope
Common Questions About Microsoft 365 for Financial Services
Does Microsoft 365 meet FCA compliance requirements?
Yes, when properly configured. Microsoft 365 provides the tools for FCA compliance (email archiving, audit logging, data protection) but configuration is critical. We set up retention policies for COBS record-keeping, audit logging for regulatory investigations, and DLP to prevent data breaches.
How do we handle client communications securely?
We configure email encryption for sensitive financial information. SharePoint client portals replace insecure email attachments - clients access their documents via secure links with full audit trails. Teams meetings can be recorded for compliance with transcription for records.
What about our portfolio management system?
Your portfolio system stays. Microsoft 365 handles email, documents, and collaboration. We integrate where possible - Excel exports, document management sync, and single sign-on. You get the best of both worlds.
Can we prevent advisers from accidentally emailing client account numbers?
Yes. We configure Data Loss Prevention policies that detect National Insurance numbers, account numbers, sort codes, and other sensitive information. Emails containing this data can be automatically blocked, encrypted, or require approval before sending.
What about the 7-year record-keeping requirement?
We configure retention policies that automatically preserve emails and documents for 7 years (or longer if required). Even if an adviser deletes an email, it's retained for compliance. We also set up eDiscovery capability for regulatory investigations.
Ready to Move Your Firm to Microsoft 365?
Start with a free consultation. We'll review your current setup, recommend the right licensing mix, and outline a migration plan that works around your regulatory deadlines.
7-Day Stabilise Guarantee: Fully protected in 7 business days or your first month is free.
Microsoft Partner. Cyber Essentials certified. Serving financial services firms across Liverpool, Wirral, Chester, and the North West.
