Cybersecurity
Get the latest news and insights on cybersecurity regulations affecting financial advisors, broker-dealers, RIAs and others in the financial services industry.
Are We Ready for the Next Financial Crisis?
By Bernice NapachA new report from the Group of 30 sounds the alarm for regulators to do more now to prepare.
August 14, 2018
SEC Charges Perpetrator of ICO Offering With FraudThe agency also issued a Investor Alert to encourage investors to check the background of anyone selling them an investment.
July 30, 2018
What's in Your Technology Report Card?Advisors are in the business of measurement, so they also should ask users to grade how well firm technology systems perform.
July 26, 2018
FBI Warns of $12 Billion Email Scam on Wire TransfersThe scam "continues to grow and evolve," with 41,000 victims in U.S. alone.
July 25, 2018
Cybersecurity Is Still Advisors' Top Compliance Worry: IAA PollOther notable concerns are the SEC's Advertising Rule and new Form ADV disclosures.
July 06, 2018
The Top 10 Phishing Lines Luring EmployeesExperts say regular phishing training and education for all staff is needed.
June 29, 2018
Regulators Signal That New Data Archiving Rules Are ComingGone are the days when email was the SEC's primary electronic-records concern. Now data is everywhere, from texts to video chats.
June 27, 2018
Here's How to Achieve Work-Life SecurityThe flow of information through multiple devices can heighten security risks. Here's how to be better prepared.