Cybersecurity
Get the latest news and insights on cybersecurity regulations affecting financial advisors, broker-dealers, RIAs and others in the financial services industry.
Are You Keeping an Eye on Your Service Providers?
By Thomas D. GiachettiHere's how RIAs can maintain effective due diligence programs to evaluate third-party risks.
January 24, 2022
SEC Chief Wants Advisors, BDs to Improve 'Cyber Hygiene'One possible course of action: altering the "timing and substance" of required customer notifications under Reg S-P.
January 05, 2022
3 Steps for Tackling Cybersecurity This YearCybercriminals are threatening to use the client data they've collected to perpetrate more crimes, unless they're paid not to do so.
December 28, 2021
8 Bitcoin Tax Facts to KnowAre you advising your clients correctly when it comes to their investments in cryptocurrencies and the IRS?
December 22, 2021
Electronic Signatures May Get Help From the D.C. GorillasThe shift away from paper signatures is part of Social Security streamlining efforts.
December 15, 2021
3 Steps to a Safer RIARisk comes in more packages than markets. Cybersecurity can mean the difference between losing and keeping clients.
December 09, 2021
MIT's Lo Predicts the Future of FinanceLo explains what regulators are doing to avoid another devastating financial crisis and his research on systemic risk.
November 29, 2021
Commonwealth Plans Big Tech Investments as More of Its Advisors Ditch FINRA"Commonwealth actually looks more like a national RIA than it does a traditional broker-dealer," CEO Wayne Bloom tells ThinkAdvisor.