SEC Exam Priorities Said to Focus on Cybersecurity, Seniors in 2018
The new examination priorities list, usually released in January, would be the roadmap for OCIE activities for the year.
How Do You Beat a Robo-Advisor? Trust
Successful financial advisors must have the trust of their clients, an MIT economist says.
SEC Shows Off Cybersecurity Muscle Following EDGAR Breach
Still, there are questions on how many cases will be brought by the new cyber unit.
Advisors ‘Lagging’ in Proper Insurance Against Cyberattacks
An FPA survey found that less than a third of advisors were fully prepared to manage the risks of a cyberattack.
Complex Client Chats Could Be Untangled by Speech Software
Gridspace says its analysis software, from SRI Speech Labs, would eventually fit the needs of the financial advisory space.
Would Blockchain Have Blocked Wells Fargo’s Misconduct?
An MIT professor and others said blockchain could have made it easier to see that the accounts were fake, but would that have been enough?
As Advisors Jump Into AI, Experts Warn About Data
Thought leaders in the field urge firms to use caution about the quality of the data and algorithms being put into use.
Could health care benefit from blockchain technology?
Proponents of blockchain say it not only helps with privacy and security issues for health records, but also the scalability of health records.