Data security

The hackers claim to be officers from the regulatory agency who have documents requiring immediate attention.

Without centralized IT protocols RIA cyber fraud scenarios are taking on new and nightmarish dimensions — but there are ways for firms to defend themselves.

Compliance attorneys for large wealth managers outline which questions are critical in light of the substantial regulatory requirements.

Financial institutions need to alert customers about emails or websites that pretend to offer important COVID-19 information but instead could end up stealing their account numbers or logins.

Best-in-class IT management and cybersecurity protection means RIAs must also focus on their base layer — the tech stack.

The technology provider has become a leading data aggregator. But questions have surfaced about its use of customer data.

A stroll down the corridors at professional gatherings is always a good idea. Here are ways to have the most fruitful conversations.

Take snafus from other financial institutions as fire drills to stress test your third-party providers.

While the agency has publicly detailed key focus areas, some planners still don't know how it evaluates firms.

At this stage it's not an actual data breach, but it could become one.

The Massachusetts senator asked Richard Fairbank in a letter why the bank didn’t detect the breach for nearly four months and how it plans to prevent future cyber intrusions.

Financial firms are grappling with what — and how — to tell consumers about the use of their private information.

Which is better? An SEP plan or solo 401(k)?

Here are questions the agency has been asking.

Some advisors think they’re stuck with legacy systems. They’re not, says the firms’ managing partner.

Firms are spending plenty on tech but are skimping when it comes to training their people to recognize an incoming attack.

In a day when information is the lifeblood of business, you’re an information fiduciary as well.

FINRA, Morningstar and Nasdaq have already migrated to the cloud. Should RIAs follow?

Audit volume is up but compliance issues are down — with cybersecurity as the wild card.