Cybersecurity
Get the latest news and insights on cybersecurity regulations affecting financial advisors, broker-dealers, RIAs and others in the financial services industry.
Treasury's Crime Unit Updates Email Fraud Guidance
By Melanie WaddellFinCEN now includes convertible virtual currency payments among its definitions of email compromise fraud activities.
July 08, 2019
SEC, FINRA Clarify Broker-Dealer Custody of Digital AssetsFor one thing, BDs with custody of these assets must comply with the Customer Protection Rule.
June 21, 2019
The Advisor Compliance Issue That's Bigger Than Reg BILongtime compliance chief Beth Haddock talks to ThinkAdvisor about cybersecurity, Reg BI and making compliance training less boring.
June 14, 2019
Social Security, Postal Service Using Outdated ID Checks: GAOSome federal entities give individuals access to their online portals using a method that was deemed outdated after the Equifax breach.
June 03, 2019
SEC Names CIA Veteran Zerrusen to Cybersecurity PostKevin Zerrusen has been named to serve as Chairman Jay Clayton's senior advisor for cybersecurity policy.
May 28, 2019
Importance of Being Up to Date With TechTop tech gurus discuss what advisors need to do infrastructure-wise to stay ahead.
May 22, 2019
SEC Urges Advisors to Look Beyond AMLMoney laundering isn't the only suspicious activity advisors need to watch out for, exam chief Pete Driscoll says.
May 20, 2019
JMP Launches an Opportunity Zone Platform: Portfolio ProductsAlso, RIA in a Box introduces a cybersecurity platform for advisors.