Cybersecurity
Get the latest news and insights on cybersecurity regulations affecting financial advisors, broker-dealers, RIAs and others in the financial services industry.
United Planners Consolidates Its Compliance, Cybersecurity Functions
By Melanie WaddellIt's using the regtech tool SurgeONE.ai, which helps advisors stay ahead of regulatory exams.
January 05, 2026
Phishing Scam Snares an Ameriprise AdvisorThe breach potentially exposed nearly 600 clients' data, a state regulator warns.
December 03, 2025
6 Savvy Insurance Moves Wealthy Clients Can Make in 2026Risk appetite among high-net-worth individuals has dropped sharply over the past several years.
November 10, 2025
Schwab Requires Credential Reset for Some ClientsCertain customers who provided login access to third-party data vendors were asked for updates, a spokesperson confirms.
October 08, 2025
Salesforce Breach Exposes Risk for Wealth Firms; Here Are 6 Steps to Take NowThe recent leak of 1 billion records should prompt renewed assessments of client data safety defenses.
September 17, 2025
Former CNBC Editor Clarifies Controversial Posts About Charlie Kirk, TrumpJim Pavia said he wasn’t aware Kirk had died when commenting about his shooting in a personal chat.
September 12, 2025
Best & Worst Retirement Plan Digital Providers: J.D. Power, 2025A study finds that that 62% of retirement plan users say security is more important than convenience.
August 14, 2025
Firm Hit by MOVEit Data Breach May Settle for $8.5MThat will cover 1.2 million affected people and could hint at what's ahead for people in other litigation classes.