Data security

The OCIE is suggesting best practices for firms to protect themselves.

In 2016, the SEC brought a record 868 cases, including 173 against broker-dealers and advisers and 159 against investment companies.

On the heels of a record-breaking year in enforcement, the regulator takes aim at cybersecurity, anti-money laundering policies and protection for senior clients.

If employees are not properly trained, no amount of spending can prevent a breach, according to cybersecurity expert Jonathan Hard.

It’s important for all advice firms to have an information security strategy in place that safeguards company and client data wherever it resides.

Who’s responsible for a digital problem caused by a third-party program? Not the vendor.

Why advisers need to pay close attention to technology vendor contracts.

‘Hey, you, get off of my cloud.’ What wealth managers should know about the risk-reward of cybersecurity.

The long-running feud between banks and fintech companies over screen scraping is morphing into a more nuanced and important conversation about how to exchange consumers' financial data securely and fairly.

Advisers have been warned: SEC's exam guidance to focus on cyber threats and issues involving seniors, leaving little excuse for noncompliance.