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

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.

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

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.

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

The regulator plans to ramp up scrutiny of bad brokers and electronic communications, among other new measures.

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.

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