Cybersecurity
Get the latest news and insights on cybersecurity regulations affecting financial advisors, broker-dealers, RIAs and others in the financial services industry.
LPL Hit With $2.75M FINRA Fine Over Cyber Infractions
By Elizabeth FestaFINRA found fault with LPL's AML program.
November 14, 2018
IRS Crime Report Highlights High Conviction Rate Despite Dearth of AgentsFinancial crime has proliferated over the past few years and cybercrime looms large.
November 09, 2018
SEC Launches Targeted Exams of Mutual Funds, ETFsPete Driscoll, head of the SEC's exam division, also said Friday that cybersecurity and crypto will be 2019 exam priorities.
November 01, 2018
Financial Services Leads in Cyber, Privacy Risk Management: PwCFinancial services, followed by health care, led the way among business sectors in a new survey on firms' cyber readiness.
October 25, 2018
How to Break Up With Your Technology VendorIf you are frustrated with your technology provider, here's how to work out the separation agreement.
October 19, 2018
2 Common Email Spoofing Scams to Avoid: SECThe SEC made an example of nine firms that lost a total of $100 million to email fraudsters.
October 19, 2018
New 'Red Flag' Tools Launched to Curb Cyber RisksEntreda's news follows a $1 million settlement reached by Voya Financial Advisors with the SEC over cybersecurity failures and compromised client personal data.
October 15, 2018
SEC Does Not 'Dictate' Cyber Controls, Cyber Chief SaysThe SEC is more focused on preparedness, cyber chief Robert Cohen said at a NASAA Cybersecurity Roundtable.