Cybersecurity
Get the latest news and insights on cybersecurity regulations affecting financial advisors, broker-dealers, RIAs and others in the financial services industry.
RIAs, BDs Must Tell Clients About Data Breaches: SEC
By Dinah Wisenberg BrinA new rule amendment requires firms to notify clients within 30 days if private data has been compromised.
April 24, 2024
9 Traps to Avoid With Planning Tools: CFP BoardAdvisors must know how their processes really work and how to fully protect their clients' private information.
April 18, 2024
UnitedHealth CEO Warns of 3-Year Medicare SqueezeThe health care services giant also faces ransomware problems and a $7 billion loss in Brazil.
April 05, 2024
Ameritas Adds Pontera's 401(k) Management PlatformAffiliated advisors will be able to make trades and manage retirement plan accounts using the new technology and tools.
March 29, 2024
Dave Ramsey Imposter Scams 72-Year-Old: ReportA faked website appeared to be affiliated with the radio host, which led to messaging with "Dave."
March 18, 2024
Cambridge Says It's Under FINRA Review, Plans $500,000 RestitutionThe firm's procedures for providing fee waivers, rebates and discounts through rights of reinstatement are under scrutiny.
March 15, 2024
FINRA Fines Osaic Wealth, Securities America Over Cyber BreachesThe breaches compromised the personal data of more than 32,000 clients, FINRA says.
March 11, 2024
Washington National Breach Victim Says Disclosure Was Too VagueThe Illinois resident believes the breach led to the compromise of her debit card, according to a lawsuit.