Cybersecurity
Get the latest news and insights on cybersecurity regulations affecting financial advisors, broker-dealers, RIAs and others in the financial services industry.
Electronic Signatures May Get Help From the D.C. Gorillas
By Allison BellThe shift away from paper signatures is part of Social Security streamlining efforts.
November 29, 2021
Commonwealth Plans Big Tech Investments as More of Its Advisors Ditch FINRA"Commonwealth actually looks more like a national RIA than it does a traditional broker-dealer," CEO Wayne Bloom tells ThinkAdvisor.
November 01, 2021
SEC Commissioner Wants Cyber Rules for Advisors, BDsElad Roisman, a Republican, wants the SEC to write a rule clarifying when advisors and broker-dealers are to inform investors and the commission about a cybersecurity breach.
October 27, 2021
Why the SEC Has Its Eyes on AdvisorsIt's smart to go beyond a written program and implement multi-factor authentication.
September 23, 2021
New Deals, Other Efforts Lead Orion's Platform PlayThe firm's in-person conference, a welcome change, provided an inside look at innovative plans and other insights.
September 17, 2021
Fidelity Institutional Adds Cybersecurity Solution for Wealth ManagersThe third-party offering from Armorblox can alert advisors of fraudulent emails, Fidelity says.
September 14, 2021
SEC's Gensler Signals Likely OK to Extend FINRA Remote InspectionsGensler noted that there are "trade-offs" in conducting remote exams.
August 30, 2021
SEC Fines Cetera, Cambridge and KMS $750K Over Email HacksFailures in cybersecurity policies and procedures led to email account takeovers that exposed clients' personal information.