Cybersecurity
Get the latest news and insights on cybersecurity regulations affecting financial advisors, broker-dealers, RIAs and others in the financial services industry.
May 27, 2020
Regulatory Groups Gear Up Remote Exam RequirementsFINRA reduces mediation fees and enhances action against new wave of scams.
May 21, 2020
Smarsh Buys Cybersecurity Firm EntredaEntreda works with BDs, RIAs and wealth managers, while Smarsh focuses on larger firms.
May 11, 2020
MassMutual Teams With NextCapital on Retirement Solution: Tech RoundupAlso, Envestnet MoneyGuide enhances its client portal.
April 23, 2020
How Advisors Can Thrive in a Virtual Environment"The key is to embrace the change," a senior manager at TD Ameritrade says.
April 14, 2020
Key Tech Steps for RIAs Working From HomeWhen it comes to cybersecurity, make sure you're using multi-factor authentication and VPNs are a mixed bag, RightSize says.
March 13, 2020
Another Hazard of Pandemics: HackersHackers may seek to take advantage of advisors and others distracted by coronavirus, a law firm says.
March 12, 2020
How RIAs Can Prepare for Coronavirus Disruptions"In these times, you can not over-communicate" with clients or staff, RIA in a Box President GJ King says.
February 24, 2020
Lessons From 10 Years in the Tech TrenchesInvestment Advisor's columnist looks back on how much has changed over a decade and why advisors must stay alert.
February 14, 2020
Enhance Cyber Policies Now to Avoid SEC Enforcement ActionsThe SEC recently published a report on the cybersecurity steps advisors must take.
January 27, 2020
SEC Releases Cybersecurity, Data Loss Best PracticesThe report presents observations from exams; mobile security is a big focus.