Cybersecurity
Get the latest news and insights on cybersecurity regulations affecting financial advisors, broker-dealers, RIAs and others in the financial services industry.
SEC Chair Clayton Lays Out 2019 Regulatory Priorities
By Melanie WaddellA "key priority" for the securities regulator is finalizing advice standards package, Clayton says.
November 29, 2018
Cybersecurity Environment Is 'Terrifying,' USA Financial's CCO SaysAndrea McGrew sees big increase in hacking and phising of advisor-clients; suggests common-sense precautions.
November 28, 2018
Just Do It: A 2018 Year-End Action List for AdvisorsGetting ready for the holidays is the easy part of advisors' year-end duties. For the tough tasks, here's a "must-do" checklist to help advisors tackle business processes and client needs in late 2018.
November 28, 2018
T3 Event Shows How Advisors Can Keep Robots at BayThe technology conference showcased innovation focused on cybersecurity, AI and more from the biggest and brightest names in the business.
November 28, 2018
What's Inside the SEC's Best Execution Risk AlertAdvisors often don't realize that best execution requirements have many facets, all of which are worth a careful review.
November 27, 2018
LPL Hit With $2.75M FINRA Fine Over Cyber InfractionsFINRA found fault with LPL's AML program.
November 19, 2018
IRS Warns of 'Tax Transcript' Email ScamEmotet, a particularly destructive piece of malware, is spreading under the guise of an IRS notice.
November 15, 2018
Why Phishing Scams Are Increasingly Targeting Financial AdvisorsCyber breaches on financial firms are getting more frequent and more complex.