Cybersecurity
Get the latest news and insights on cybersecurity regulations affecting financial advisors, broker-dealers, RIAs and others in the financial services industry.
Don't Let Your Cybersecurity Policy Slip
By Thomas D. GiachettiThe SEC has been clear on what it expects from advisors on data protection. Are you up to speed?
February 26, 2019
Ensemble or Solo Practice? How it Impacts Technology SolutionsHow your firm is structured certainly impacts what technology solutions are selected and rolled out.
February 26, 2019
Aite Group Launches Cybersecurity PracticeMachine-learning model is the next evolution for cybersecurity, according to an Aite report by team member and cybersecurity vet Alissa Knight.
February 21, 2019
CFTC Compliance Branch Releases Its First-Ever Exam Priorities ListHere's what advisors and BDs registered as CTAs or commodity pool operators should prepare for.
February 14, 2019
8 Dangers That Come as Firms DigitizeAon's newly released 2019 Cyber Security Risk Report cites eight digitization cyber risks firms face and actions they need to take.
February 14, 2019
FINRA Warns of BD Phishing ScamBDs reported receiving suspicious emails from a purported compliance officer working at what appears to be a legitimate credit union.
February 14, 2019
Cyberattacks the 'Single Greatest Threat' to Advisors' Business: Joel BruckensteinThe T3 head tells ThinkAdvisor that the third-party cybersecurity collective cleverDome "has the ability to change the industry."
February 13, 2019
Senators Seek Feedback on Consumer Privacy ControlsSens. Crapo and Brown look for comments by March 15 as the GAO recommends internet privacy legislation.