Data security

High-value targets include client names and account numbers. Protecting the information can also protect an advisory practice from regulatory penalties.

The regulator said "significant deficiencies" affected hundreds of millions of records.

With cybercrime an increasing threat to small financial firms, it’s important to have a comprehensive defensive program in place.

By offering specialized tax planning and retirement tools, this software has carved out a niche for itself for advisories with clients who have less than $2 million in liquid assets.

FINRA fines Lincoln Financial Securities for foreign hack attack.

Prosecutors served a warrant seeking names of employees who opened unauthorized accounts, as well as the bank’s fee structure and a calculation of losses suffered by affected customers.

It's a planner's worst nightmare. Here's what to do when client data is compromised by a cyberattack.

This unit is a critical gatekeeper and value-add for your clients, particularly high-net-worth ones.

Yahoo says no bank account or card data has been compromised in its massive data breach. Yet hackers could use their ill-gotten personal information about customers to mess with bank accounts.

Regulators should step up their inspections of digital advisers as these tools surge in popularity, the firm said.

The company’s survival may depend on a continuing security awareness training program.

The company’s survival may depend on a continuing security awareness training program.

Goal-planning and security are two areas where wealth management firms need to innovate most, say Corporate Insight researchers.

Commission staffers are probing how broker-dealers are handling ETFs and the extent to which investors understand the risks of the funds.

Advisers, get ready to track — and secure — client information streaming in from physical properties and a vast array of accounts.

The SEC has moved ahead with rules mandating that many advisors implement policies and procedures to help shield their clients' information from scammers.

Fending off cyber intrusions is becoming a cost of doing business, but when advisors find that their practice has been breached, they need to follow a plan for assessing the damage.

Cybersecurity policy may still be very much a work in progress at the SEC, but officials increasingly are expecting advisors to have a baseline set of policies and procedures in place to safeguard clients' data, compliance experts caution.

The SEC has yet to produce or even propose any binding rules regarding cybersecurity, but officials have been sending strong signals that they expect firms of all sizes to put in place policies and procedures to protect sensitive information.