Cybersecurity
Get the latest news and insights on cybersecurity regulations affecting financial advisors, broker-dealers, RIAs and others in the financial services industry.
SEC Chief Wants Advisors, BDs to Improve 'Cyber Hygiene'
By Melanie WaddellOne possible course of action: altering the "timing and substance" of required customer notifications under Reg S-P.
December 22, 2021
Electronic Signatures May Get Help From the D.C. GorillasThe shift away from paper signatures is part of Social Security streamlining efforts.
December 15, 2021
3 Steps to a Safer RIARisk comes in more packages than markets. Cybersecurity can mean the difference between losing and keeping clients.
December 09, 2021
MIT's Lo Predicts the Future of FinanceLo explains what regulators are doing to avoid another devastating financial crisis and his research on systemic risk.
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.