Cybersecurity
Get the latest news and insights on cybersecurity regulations affecting financial advisors, broker-dealers, RIAs and others in the financial services industry.
SEC Fines Cetera, Cambridge and KMS $750K Over Email Hacks
By Melanie WaddellFailures in cybersecurity policies and procedures led to email account takeovers that exposed clients' personal information.
June 02, 2021
Longtime Bank Lawyer Predicts Where Next Financial Crisis Will Come FromRegulators spend too much time micromanaging and too little preparing for crises, Thomas Vartanian tells ThinkAdvisor.
May 21, 2021
8 Top Enforcement Trends FINRA's Watching NowBad actors still lie, cheat and steal, but their methods have changed — and so have FINRA's enforcement tactics.
March 16, 2021
401(k) Plans Have a Big Cybersecurity Problem, Need Guidance: GAOAfter a congressional request to review these risks, GAO concludes that vendors are weak links.
March 10, 2021
Digital Payments, Phone Scams Grow in Tax SeasonMillennials are at greater risk for tax scams than boomers, a survey has found.
December 29, 2020
3 Ways to Step Up Cybersecurity in Wake of SolarWinds BreachUse these events "as a learning opportunity and strive to make [your] data more secure," says F2 Strategy's Scott Lamont.
December 23, 2020
Top RIA Trends in 2021: Joel BruckensteinThe tech expert says advisors should ask their vendors immediately if the hacked SolarWinds software is in their "cyber" package.
December 17, 2020
Fusion Financial Founders to Provide 'White Glove' IT Services for RIAs: Tech RoundupAlso, Broadridge appoints a chairman for its LTX trading platform.