Cybersecurity
Get the latest news and insights on cybersecurity regulations affecting financial advisors, broker-dealers, RIAs and others in the financial services industry.
SEC Names Littman to Head Cyber Unit
By Melanie WaddellLittman, who's served as senior advisor to SEC Chairman Jay Clayton since August 2017, succeeds Robert Cohen.
October 02, 2019
2 Steps to Building a Cybersafe RIAThe SEC wants advisors to better protect client data. Here's how to get started.
September 24, 2019
Are You Getting the 'Best' Tech Advice?Different firms have different needs when it comes to technology; in some cases, one firm's success can be another's failure.
September 09, 2019
Cybersecurity Infractions on the Rise Among Advisors: NASAADeficiencies in almost every other category have decreased, said NASAA President Michael Pieciak.
September 06, 2019
RIA in a Box's MyRIACompliance Software Integrates With Cloud-Based DocupaceWealth management firms using MyRIACompliance software can now access the Docupace platform also via single sign-on.
August 27, 2019
Ways Cyberfraud Can Jeopardize Your Clients' PlansSomething as simple as using an unsecure network could derail retirement financial plans. Here's how to avoid that.
August 22, 2019
RIA in a Box Offers Cybersecurity Tips for AdvisorsA firm's employees can be its greatest cyber defense and weakness, the compliance software maker says.
August 20, 2019
SEC Loses Its First Cyber Enforcement ChiefRobert A. Cohen is joining Davis Polk & Wardell, where two former SEC enforcement directors are now employed.