Cybersecurity
Get the latest news and insights on cybersecurity regulations affecting financial advisors, broker-dealers, RIAs and others in the financial services industry.
Phishing Scams on the Rise: FINRA
By Melanie WaddellThere are some key ways to spot these scams to protect both clients' identities and their assets, the regulatory group points out.
March 15, 2023
SEC Proposes New Cyber Rules for RIAs, BDsFirms would be required to notify customers of breaches that might put their personal financial data at risk.
March 15, 2023
LUMINARIES 2023 Nominations Portal OpenThinkAdvisor's recognition program is accepting nominations through April 18. There's no cost to participate.
March 10, 2023
Wells Fargo Clients Report Missing Deposits as Bank Works on FixWhile social media posts indicated some customers were missing paychecks, the bank said accounts were secure.
March 02, 2023
Annuity Issuer Parent Company Fights Ransomware AttackGroup 1001 says that it has contained the ransomware code and has not paid a ransom.
March 01, 2023
New House Data Privacy Bill Could Limit State Insurance Regulators' AuthorityInsurance groups want changes. An electronic privacy group hates the reliance on disclosures.
February 23, 2023
FINRA Warns of Ongoing Fake-Email ScamBad actors are sending phishing emails from addresses similar to FINRA's, the regulator says.
February 10, 2023
Advisor Texting, DOL Fiduciary Rule Are Hot-Button Issues This YearLabor will likely release a fiduciary rule before summer ends, attorney Sara Crovitz tells ThinkAdvisor.