Data security

Risk alert: The agency expects advisors to follow these steps.

A recent OCIE report shows that advisors are missing the mark on protecting their businesses against cyber threats.

The bank’s attorney who mistakenly released reams of sensitive data about wealthy clients asked a judge to order the records returned and not to be spread any further.

Regulators are contacting the bank after financial details of some 50,000 clients were inadvertently sent to an outside party, according to a person with knowledge of the matter.

Are the measures you're taking enough? Compliance expert Alan J. Foxman explains.

Some advisers are actually embracing changes by making the rules work for them.

Even as the agency refines its approach to spurring good cybersecurity practices in advisers, its expectations aren't slackening. Here’s what to expect.

RIAs using digital platforms will face scrutiny about disclosure and client communications.

Facial recognition software is more efficient and accurate than any questionnaire, says the IBD's chief executive, Robert Moore.

The firm says its external backup system failed at the same time its main internet connection was cut, raising concerns.