Cybersecurity
Get the latest news and insights on cybersecurity regulations affecting financial advisors, broker-dealers, RIAs and others in the financial services industry.
4 Ways SEC's New Proposed Rules Put Cybersecurity Front and Center
By Thomas D. GiachettiDespite pushback, advisors and funds will need to update and document their risk management practices.
March 25, 2022
12 States Where Clients Are Most at Risk of Identity TheftTax-related identity theft reports have soared 45% since before the pandemic, according to a financial services provider and FTC data.
February 22, 2022
Are You Keeping an Eye on Your Service Providers?Here's how RIAs can maintain effective due diligence programs to evaluate third-party risks.
February 09, 2022
SEC Outlines Cyber Rules, New Form for AdvisorsThe SEC is proposing new rules that would require advisors to adopt written policies and procedures to address cybersecurity risks.
February 03, 2022
SEC Sets Vote on Cyber Rules for AdvisorsThe meeting will also address shorter settlement cycles, a discussion prompted by the meme stock frenzy.
January 24, 2022
SEC Chief Wants Advisors, BDs to Improve 'Cyber Hygiene'One possible course of action: altering the "timing and substance" of required customer notifications under Reg S-P.
January 05, 2022
3 Steps for Tackling Cybersecurity This YearCybercriminals are threatening to use the client data they've collected to perpetrate more crimes, unless they're paid not to do so.
December 28, 2021
8 Bitcoin Tax Facts to KnowAre you advising your clients correctly when it comes to their investments in cryptocurrencies and the IRS?