Cybersecurity
Get the latest news and insights on cybersecurity regulations affecting financial advisors, broker-dealers, RIAs and others in the financial services industry.
Ex-Morgan Stanley IT Expert Files Whistleblower Suit Against Autonomy Capital
By Jeff BermanThe investment management firm's cybersecurity systems had "massive holes," the fired exec said in the suit.
July 07, 2020
Financial Firms Speeding Tech Adoption Due to Pandemic: SurveyBDs and other financial services firms are accelerating their digital transformations, a new Broadridge study finds.
June 17, 2020
Advisors Beware: Schemers Are Out to Get YouThe House Financial Services Committee and NASAA found the pandemic has brought out more fraudsters.
June 16, 2020
RIA in a Box Launches Cybersecurity Insurance for Advisors: Tech RoundupAlso, SEC's FinHub launches virtual peer-to-peer meetups.
May 27, 2020
Regulatory Groups Gear Up Remote Exam RequirementsFINRA reduces mediation fees and enhances action against new wave of scams.
May 21, 2020
Smarsh Buys Cybersecurity Firm EntredaEntreda works with BDs, RIAs and wealth managers, while Smarsh focuses on larger firms.
May 11, 2020
MassMutual Teams With NextCapital on Retirement Solution: Tech RoundupAlso, Envestnet MoneyGuide enhances its client portal.
April 23, 2020
How Advisors Can Thrive in a Virtual Environment"The key is to embrace the change," a senior manager at TD Ameritrade says.