Data and information management

Client data should be walled off behind sufficient protections.

Soon enough, analytics will help advisors figure out who needs extra attention, who may be able to provide a new referral and more.

Ensuring that any potential breach is identified and mitigated takes aggressive action.

Advisors worried about securing client data should learn how banks are developing a protected space for internet activity.

The industry has resisted the SEC’s Consolidated Audit Trail surveillance system ― dubbed CAT ― in its current form based on cybersecurity concerns.

Medium-sized RIAs have few options, but the SEC’s examination priority list makes this a hot topic.

A recent report provides insights into the regulator's concerns, that include cybersecurity, anti-money laundering and alternative investments.

It’s been month after month of record-breaking, confounding growth for the cryptocurrency, accompanied by regular warnings from banks about bubble speculation.

AI, HSAs, commissions and cybersecurity are top of mind for advisors attending at the firm’s annual Impact conference. The CEO makes his predictions.

Chairman Jay Clayton and top SEC brass are putting advisors on notice. The regulator is drilling down on investor protections, while warning firms on cybersecurity and AML compliance.

The breach follows other developments that have made offshore planning methods less attractive.

Following in the footsteps of Chase, Wells Fargo and others, Fidelity is launching an application programming interface to let third-party apps access customer data — as long as the customers grant permission.

The NSA, Equifax and the SEC were all breached. Financial advisors of all sizes are fair game, too, says Wes Stillman.

A series of launches at T3 Enterprise demonstrate how industry firms are embracing change as the advisor tech space becomes hypercompetitive.

Institutions are regularly compiling large amounts of data in their quest for enhanced disclosure, an expert writes.

Clients are looking to be reassured about the security of their data.

It can be a daunting process, but here is how to get started.