Data and information management

The self-regulatory body says working with data aggregators increases the risk of cyber fraud, unauthorized transactions and identity theft. But aggregators say other links in the information chain are more vulnerable.

The accusations shed light on the massive back-office systems maintained by regulators and the difficulty of keeping the sensitive information in them private.

More than a decade ago, bankers fought Walmart tooth and nail as it made forays into banking. But with Amazon making more moves into financial services, the reaction is very different.

To protect their practice, advisors should know the answers to several critical questions about how vendors use and safeguard their data.

Following criticism for its faulty 2016 election algorithms, the firm appointed a new research director to collaborate with its quants and money managers.

Spanning 50 federal districts, the case involves criminal and civil charges for as many as 200 defendants.

Distributed ledger technology is expected to provide advisors with more transparency in a variety of transactions.

Commission prioritizes retail investors as OCIE issues its must-read compliance letter.

Planners are torn on whether they should DIY or give outsourcing a try.

From emerging technologies to new regulatory scrutiny, Aite Group analysts expect to see many firms redefine their business models in 2018.

Another blockbuster announcement from the online retail giant stirs more debate about its future plans for the financial industry.

ETF Managers Group accused the exchange of favoring interests in a competing product.

The regulator asked sponsors to hold off on registering funds investing in the currencies. Here’s why.

The ultra-wealthy portfolio has a large percentage of illiquid assets and advisors without tools to manage that aspect will lose that client, says one provider.

Clients won't accept complacency when a vendor is hacked. Acting quickly is key.

The impact of commoditization, fee compression and consolidation on RIAs in 2018 cannot be understated.