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Too many companies skip this important step when confronted with a breach, but financial services firms are a critical line of defense against threats to client data.
February 4
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"Anyone who owns minerals rights is concerned," says Jonathan Meaney, an advisor with Carter Financial Management, an independent firm affiliated with Raymond James Financial Services.
February 4 -
The three join a growing roster of J.P. Morgan alumni suspended and fined by FINRA since January.
February 4 -
Government and industry regulators release results of sweep exams evaluating digital defenses at advisor and broker firms, the latest indication that the groups are getting serious about cybersecurity.
February 4
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A well thought-out and rehearsed response plan can be the difference between successfully containing cyberthreats and disaster, says Stephen Russell of PricewaterhouseCoopers.
February 4 -
The SEC has promoted former deputy director David Grim as acting director of its division of investment management.
February 4 -
Many clients think their workplace retirement plan is not worth it if there is no employer match contribution; Plus, how retirement plans can underestimate inflation
February 4 -
According to a new study, only 46% of new retirees are confident that they can afford the lifestyle they want in retirement.
February 3 -
The industry regulator says increasing oversight of RIAs is a "top priority" as it appeals to Congress for a funding increase to hire more examiners.
February 3 -
Paul Reilly describes a recent leaked White House memo supporting the DOL's efforts as "an example of biased and distorted research [that] impugns the integrity of the work our advisors do every day."
February 3
