Cybersecurity
Get the latest news and insights on cybersecurity regulations affecting financial advisors, broker-dealers, RIAs and others in the financial services industry.
Off-Channel Communications Now Advisors' Top Compliance Concern
By Melanie WaddellTwo new compliance surveys named unapproved messaging channels as the topic of the moment.
June 24, 2024
Troublemakers, Be Warned: AI Is WatchingSmarsh CEO Kim Crawford Goodman tells ThinkAdvisor how new tools can help firms spot bad actors.
June 20, 2024
Prudential Faces Two Federal Suits Over CyberattackThe plaintiffs are asking whether the life and annuity issuer told them about the breach quickly enough.
June 20, 2024
MOVEit Cyberattack Suits Could Get a FrameworkThe data security breach affected more than 26 million users' life insurance, annuities and retirement savings programs.
May 29, 2024
Merrill Employee Error Causes Walmart 401(k) Data Breach"We are not aware of any misuse of the personal information disclosed," Merrill's parent said.
May 28, 2024
Hacking Group Claims It Stole Wealthy Clients' Data From Christie'sThe group posted the information and suggested it would publish the entire trove in early June.
May 22, 2024
Interactive Brokers Notifies 600 Clients of Data BreachThe breach, disclosed May 16, involved an unauthorized party gaining access to an employee's email account.
May 17, 2024
RIAs, BDs Must Tell Clients About Data Breaches: SECA new rule amendment requires firms to notify clients within 30 days if private data has been compromised.