Cybersecurity
Get the latest news and insights on cybersecurity regulations affecting financial advisors, broker-dealers, RIAs and others in the financial services industry.
Complacency Is Weakest Cybersecurity Link: Dalbar/ThinkAdvisor Study
By Ginger SzalaThe State of Authentication in Financial Services report highlights what advisors need to ask partner institutions in order to best protect client data and assets from potential cyber vulnerabilities.
September 25, 2017
State-Registered Advisors Need More Cyber PrepState securities exams found nearly 700 deficiencies involving cybersecurity, NASAA says; the group offers a cybersecurity checklist.
August 15, 2017
C-Suite Survey Reveals Fear of Regulatory Scrutiny: CippermanFirm execs also worry about their cybersecurity policies.
August 08, 2017
Defending Your Digital Data: Part 2When SEC examiners evaluate a business cybersecurity preparedness, they may focus on how well youve trained employees to be responsible.
August 01, 2017
Defending Your Digital Data: Part 1Cybersecurity is becoming less esoteric for advisors something thats avoided or relegated to IT personnel to handle. Increasingly, it has become front-page news.
July 28, 2017
Clock Ticking on New York Cyber RegsWith one month to go, heres what firms need to do to comply with the state mandate.
July 26, 2017
Centennial State Sets Cybersecurity ExampleJustin Kapahi, VP at External IT, is excited about new cybersecurity regulations for financial firms that were recently passed in Colorado.
July 18, 2017
Cybersecurity Still Top Compliance Concern for Advisors: PollForm ADV, custody rule, branch office compliance also tops IAA's annual poll