Cybersecurity
Get the latest news and insights on cybersecurity regulations affecting financial advisors, broker-dealers, RIAs and others in the financial services industry.
Ways Cyberfraud Can Jeopardize Your Clients' Plans
By Fran O'BrienSomething as simple as using an unsecure network could derail retirement financial plans. Here's how to avoid that.
July 30, 2019
Tipster's Email Led to Arrest in Massive Capital One BreachThe data, which was stored on servers rented from Amazon Web Services, included names, addresses, dates of birth, and some financial information, including self-reported income.
July 29, 2019
Now Is the Time to Do a 'Back-to-School' Tech CheckBeen away for summer and have to get back into gear? Here are ideas for when "class" resumes.
July 26, 2019
Treasury's Crime Unit Updates Email Fraud GuidanceFinCEN now includes convertible virtual currency payments among its definitions of email compromise fraud activities.
July 19, 2019
Advisor Group Launches Cybersecurity ProgramWith security a top worry of advisors across the country, the firm has taken action with a new toolkit.
July 17, 2019
Cybersecurity (Again) Is Advisors' Top Compliance ConcernAn IAA and ACA Compliance Group poll reveals RIAs also worry about advertising and marketing rules.
July 08, 2019
SEC, FINRA Clarify Broker-Dealer Custody of Digital AssetsFor one thing, BDs with custody of these assets must comply with the Customer Protection Rule.
June 21, 2019
The Advisor Compliance Issue That's Bigger Than Reg BILongtime compliance chief Beth Haddock talks to ThinkAdvisor about cybersecurity, Reg BI and making compliance training less boring.