Data security

The accusations shed light on the massive back-office systems maintained by regulators and the difficulty of keeping the sensitive information in them private.

More than a decade ago, bankers fought Walmart tooth and nail as it made forays into banking. But with Amazon making more moves into financial services, the reaction is very different.

To protect their practice, advisors should know the answers to several critical questions about how vendors use and safeguard their data.

Spanning 50 federal districts, the case involves criminal and civil charges for as many as 200 defendants.

Commission prioritizes retail investors as OCIE issues its must-read compliance letter.

Planners are torn on whether they should DIY or give outsourcing a try.

From emerging technologies to new regulatory scrutiny, Aite Group analysts expect to see many firms redefine their business models in 2018.

ETF Managers Group accused the exchange of favoring interests in a competing product.

The regulator asked sponsors to hold off on registering funds investing in the currencies. Here’s why.

Clients won't accept complacency when a vendor is hacked. Acting quickly is key.

Client data should be walled off behind sufficient protections.

Ensuring that any potential breach is identified and mitigated takes aggressive action.

Advisors worried about securing client data should learn how banks are developing a protected space for internet activity.

The industry has resisted the SEC’s Consolidated Audit Trail surveillance system ― dubbed CAT ― in its current form based on cybersecurity concerns.

Medium-sized RIAs have few options, but the SEC’s examination priority list makes this a hot topic.

A recent report provides insights into the regulator's concerns, that include cybersecurity, anti-money laundering and alternative investments.

AI, HSAs, commissions and cybersecurity are top of mind for advisors attending at the firm’s annual Impact conference. The CEO makes his predictions.

Chairman Jay Clayton and top SEC brass are putting advisors on notice. The regulator is drilling down on investor protections, while warning firms on cybersecurity and AML compliance.

The breach follows other developments that have made offshore planning methods less attractive.

The NSA, Equifax and the SEC were all breached. Financial advisors of all sizes are fair game, too, says Wes Stillman.