Cybersecurity
Get the latest news and insights on cybersecurity regulations affecting financial advisors, broker-dealers, RIAs and others in the financial services industry.
New Requirements Are Coming. 'Compliant by Design' Is the Answer
By Adrian JohnstoneGetting compliance right requires its functions to be fully embedded in business workflow and provided seamlessly.
June 03, 2022
Is It Possible to Disclose a Cyberattack in 4 Days? — SEC RoundupNick Morgan and Tom Zaccaro talk with ex-SEC cyber official John Reed Stark about the regulator's proposal.
May 24, 2022
House Panel to Hold Hearing on Remote Notarization BillH.R. 3962 could help advisors, and their distant competitors, complete paper-free transactions.
May 17, 2022
Pimco Sees $14B in Outflows Amid Bond SelloffOutside clients pulled money for the first time since the pandemic's start as investors fled fixed income securities.
May 03, 2022
4 Ways SEC's New Proposed Rules Put Cybersecurity Front and CenterDespite pushback, advisors and funds will need to update and document their risk management practices.
May 03, 2022
SEC to Nearly Double Crypto Unit"Get ready for an SEC enforcement onslaught," former SEC internet enforcement chief John Reed Stark says.
April 29, 2022
FINRA Alerts BDs to Email Phishing ScamsOne phishing campaign is ongoing and another new.
March 25, 2022
12 States Where Clients Are Most at Risk of Identity TheftTax-related identity theft reports have soared 45% since before the pandemic, according to a financial services provider and FTC data.