Cybersecurity
Get the latest news and insights on cybersecurity regulations affecting financial advisors, broker-dealers, RIAs and others in the financial services industry.
September 15, 2020
SEC Warns of Rise in 'Credential Stuffing' CyberattacksClient login credentials that are compromised can result in loss of customer assets and unauthorized disclosure of personal information.
August 28, 2020
Morgan Stanley Is Sued Over Data Breaches Tied to Missing Equipment"Current and former customers face a lifetime risk of identity theft," an IRA holder says in a filing.
August 19, 2020
State Regulators Say They Disrupted 220 COVID ScamsThe schemes "often exploit trendy assets" such as cryptocurrencies or AI-related investments, a NASAA official said.
August 17, 2020
Brokers Beware: FINRA Warns Member Firms of Impostor SiteA fake FINRA website has an extra "n" in its domain name and asks for advisor info, the regulator says.
July 23, 2020
Ex-Morgan Stanley IT Expert Files Whistleblower Suit Against Autonomy CapitalThe investment management firm's cybersecurity systems had "massive holes," the fired exec said in the suit.
July 21, 2020
COVID-19 Planning Is Top RIA Compliance ConcernBusiness continuity planning related to COVID-19 has replaced cybersecurity as the top worry for compliance officers.
July 13, 2020
SEC Issues Ransomware AlertAttempts to penetrate financial institution networks through phishing and ransomware are on the rise.
July 07, 2020
Financial Firms Speeding Tech Adoption Due to Pandemic: SurveyBDs and other financial services firms are accelerating their digital transformations, a new Broadridge study finds.
June 17, 2020
Advisors Beware: Schemers Are Out to Get YouThe House Financial Services Committee and NASAA found the pandemic has brought out more fraudsters.
June 16, 2020
RIA in a Box Launches Cybersecurity Insurance for Advisors: Tech RoundupAlso, SEC's FinHub launches virtual peer-to-peer meetups.