Cybersecurity
Get the latest news and insights on cybersecurity regulations affecting financial advisors, broker-dealers, RIAs and others in the financial services industry.
SEC to Start Second Round of Cyber Exams, Issues Risk Alert
By Melanie Waddell"All firms should carefully review this alert to see how they would answer these questions," says Brian Rubin of the law firm Sutherland.
July 15, 2015
BDs Increasing Protection Against Cyber Breaches, Survey Finds'Some firms have been the subject of benign incidents but havent realized it yet,' says Sutherland's Rubin.
June 24, 2015
Cybersecurity Tops Advisors’ Compliance Worries: PollOther big worries cited in the survey were FATCA compliance, advertising and fraud prevention.
June 01, 2015
What every independent agent needs to know about cybersecurityHackers have gone after health care companies like Anthem precisely because they hold the same PHI and PFI data that a producer may hold.
June 01, 2015
What every independent agent needs to know about cybersecurityHackers have gone after health care companies like Anthem precisely because they hold the same PHI and PFI data that a producer may hold.
May 22, 2015
Are you ready for the cybersecurity talk?Its a rare day when consumers dont read about another cybersecurity breach afflicting a U.S. business.
February 06, 2015
SEC to Conduct ‘IT-Related’ Exams of BDs, AdvisorsExaminers will take a targeted look this year at the quality of the technical infrastructure of firms cybersecurity controls.
February 04, 2015
Bad Guys ‘Winning’ in CyberattacksIts inevitable that cyber breaches will happen, so prevention alone is not enough, FINRA and SIFMA say.