Cybersecurity
Get the latest news and insights on cybersecurity regulations affecting financial advisors, broker-dealers, RIAs and others in the financial services industry.
October 27, 2021
Why the SEC Has Its Eyes on AdvisorsIt's smart to go beyond a written program and implement multi-factor authentication.
September 23, 2021
New Deals, Other Efforts Lead Orion's Platform PlayThe firm's in-person conference, a welcome change, provided an inside look at innovative plans and other insights.
September 17, 2021
Fidelity Institutional Adds Cybersecurity Solution for Wealth ManagersThe third-party offering from Armorblox can alert advisors of fraudulent emails, Fidelity says.
September 14, 2021
SEC's Gensler Signals Likely OK to Extend FINRA Remote InspectionsGensler noted that there are "trade-offs" in conducting remote exams.
August 30, 2021
SEC Fines Cetera, Cambridge and KMS $750K Over Email HacksFailures in cybersecurity policies and procedures led to email account takeovers that exposed clients' personal information.
June 23, 2021
Schwab to Launch Digital Account Onboarding for Advisors in JulyThe enhancement is part of a "second major wave" of digital capabilities and Schwab is already working on a "third phase" of its plan, it says.
June 15, 2021
Legendary Ex-Fraudster Says Colonial Pipeline Attack Could Have Been AvoidedFrank Abagnale of "Catch Me if You Can" fame tells ThinkAdvisor how financial firms can prevent ransomware attacks.
June 02, 2021
Longtime Bank Lawyer Predicts Where Next Financial Crisis Will Come FromRegulators spend too much time micromanaging and too little preparing for crises, Thomas Vartanian tells ThinkAdvisor.
May 21, 2021
8 Top Enforcement Trends FINRA's Watching NowBad actors still lie, cheat and steal, but their methods have changed — and so have FINRA's enforcement tactics.
March 16, 2021
401(k) Plans Have a Big Cybersecurity Problem, Need Guidance: GAOAfter a congressional request to review these risks, GAO concludes that vendors are weak links.