Cybersecurity
Get the latest news and insights on cybersecurity regulations affecting financial advisors, broker-dealers, RIAs and others in the financial services industry.
April 23, 2014
Cybersecurity Enforcement Actions May Have ‘Significant’ Fines: SutherlandAn SEC crackdown on cybersecurity is coming, law firm Sutherland Asbill & Brennan predicts, and the penalties could be steep.
March 26, 2014
Top Cybersecurity Threats for BDs, AdvisorsAt SECs cybersecurity roundtable, officials discussed the biggest risks to BDs and advisors and urged the SEC not to prescribe rigid rules.
February 05, 2014
House Committee OKs Cybersecurity BillThe bill codifies and beefs up several of the Homeland Security Department's existing cybersecurity efforts and bars DHS from making new regulations.
January 30, 2014
SEC to CCOs: Don’t Ignore These IssuesRegulators are scrutinizing custody rule violations, cybersecurity, dually registered advisors and more.