Cybersecurity
Get the latest news and insights on cybersecurity regulations affecting financial advisors, broker-dealers, RIAs and others in the financial services industry.
Advisor Texting, DOL Fiduciary Rule Are Hot-Button Issues This Year
By Melanie WaddellLabor will likely release a fiduciary rule before summer ends, attorney Sara Crovitz tells ThinkAdvisor.
November 04, 2022
Don't Let the Fraudsters WinA life insurance security expert wants you to help prevent client account takeovers.
September 20, 2022
Morgan Stanley to Pay $35M SEC Fine Over Data SecurityAbout 15 million clients' details were compromised over a five-year period starting in 2015.
August 03, 2022
New Requirements Are Coming. 'Compliant by Design' Is the AnswerGetting compliance right requires its functions to be fully embedded in business workflow and provided seamlessly.
July 28, 2022
House-Passed H.R. 3962 Would Ease Online NotarizationsThe bill could make completing some types of life and annuity transactions online simpler.
June 22, 2022
How RIAs Can Prepare for the SEC's Proposed Cybersecurity RuleProposed SEC regulations may create more stringent requirements for disclosure and recordkeeping regarding cyberattacks.
June 03, 2022
Is It Possible to Disclose a Cyberattack in 4 Days? — SEC RoundupNick Morgan and Tom Zaccaro talk with ex-SEC cyber official John Reed Stark about the regulator's proposal.
May 24, 2022
House Panel to Hold Hearing on Remote Notarization BillH.R. 3962 could help advisors, and their distant competitors, complete paper-free transactions.