Cybersecurity
Get the latest news and insights on cybersecurity regulations affecting financial advisors, broker-dealers, RIAs and others in the financial services industry.
Congressman to SEC on ICO Market: 'Shut It All Down'
By Melanie WaddellIn a hearing, lawmakers hammered the SEC on ICO oversight and agency officials blasted a recent Supreme Court decision on disgorgement.
April 29, 2018
What Tech Checks to Make to Prep for Reg Exams2018 FINRA and SEC exam priorities can serve as a refresher for your technology practices.
April 12, 2018
SIFMA Announces Principles to Safeguard Customer DataThe four principles are designed to help protect the security of customer data accessed by third-party data aggregators.
April 04, 2018
Complacency Is Weakest Cybersecurity Link: Dalbar/ThinkAdvisor StudyThe State of Authentication in Financial Services report highlights what advisors need to ask partner institutions in order to best protect client data and assets from potential cyber vulnerabilities.
March 29, 2018
Data Breaches Exploded in 2017: New York AG SchneidermanIn 2017, the number of data breaches exploded in New York state, with a 23% increase in number of reported breaches and the number of exposed individuals…
March 06, 2018
Cybersecurity Is 'Top Risk' for Financial Services IndustryRepresentatives from SEC and the Treasury Department discuss the ways these organizations are fighting cybersecurity events.
September 25, 2017
State-Registered Advisors Need More Cyber PrepState securities exams found nearly 700 deficiencies involving cybersecurity, NASAA says; the group offers a cybersecurity checklist.
August 15, 2017
C-Suite Survey Reveals Fear of Regulatory Scrutiny: CippermanFirm execs also worry about their cybersecurity policies.