Cybersecurity
Get the latest news and insights on cybersecurity regulations affecting financial advisors, broker-dealers, RIAs and others in the financial services industry.
SEC Loses Its First Cyber Enforcement Chief
By Bernice NapachRobert A. Cohen is joining Davis Polk & Wardell, where two former SEC enforcement directors are now employed.
July 26, 2019
Treasury's Crime Unit Updates Email Fraud GuidanceFinCEN now includes convertible virtual currency payments among its definitions of email compromise fraud activities.
July 19, 2019
Advisor Group Launches Cybersecurity ProgramWith security a top worry of advisors across the country, the firm has taken action with a new toolkit.
July 17, 2019
Cybersecurity (Again) Is Advisors' Top Compliance ConcernAn IAA and ACA Compliance Group poll reveals RIAs also worry about advertising and marketing rules.
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Social Security, Postal Service Using Outdated ID Checks: GAOSome federal entities give individuals access to their online portals using a method that was deemed outdated after the Equifax breach.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.