Cybersecurity
Get the latest news and insights on cybersecurity regulations affecting financial advisors, broker-dealers, RIAs and others in the financial services industry.
Would Your Firm’s Cybersecurity Policy Meet Regulatory Muster?
By Melanie WaddellLaw firm Stark & Stark has teamed with Right Size Solutions to ensure that its 900-plus advisory firm clients cybersecurity policies withstand regulatory scrutiny.
May 27, 2014
Cybersecurity: What the Regulators May DoCybersecurity is going to be a hot regulatory issue for the foreseeable future, according to the law firm Sutherland.
May 27, 2014
Cybersecurity: Action in DC, but Will it Be Enough?Washington is moving to address cybersecurity threats, but some say not as aggressively as it should.
April 28, 2014
Top Cybersecurity Threats for BDsSome of the biggest risks may come from inside your firm, Daniel Sibears of FINRA said.
April 23, 2014
Cybersecurity Enforcement Actions May Have ‘Significant’ Fines: SutherlandAn SEC crackdown on cybersecurity is coming, law firm Sutherland Asbill & Brennan predicts, and the penalties could be steep.
March 26, 2014
Top Cybersecurity Threats for BDs, AdvisorsAt SECs cybersecurity roundtable, officials discussed the biggest risks to BDs and advisors and urged the SEC not to prescribe rigid rules.
February 05, 2014
House Committee OKs Cybersecurity BillThe bill codifies and beefs up several of the Homeland Security Department's existing cybersecurity efforts and bars DHS from making new regulations.
January 30, 2014
SEC to CCOs: Don’t Ignore These IssuesRegulators are scrutinizing custody rule violations, cybersecurity, dually registered advisors and more.