Displaying 47 results
DOL’s cybersecurity tips were needed, but 401(k)s shouldn’t ask much from participants
A system built around inaction shouldn’t expect people to become more involved with it, much less bear responsibility for keeping their accounts safe.
Failure to overhaul cybersecurity for remote work creates regulatory risks
Firms scrambling to enhance their policies and procedures should focus on the three most common weaknesses — device security, software vulnerabilities and data privacy.
Broker-dealers brace for cyberthreats
2020 was the year that independent broker-dealers needed to rely on technology more than ever, with home-office staff and a large number of advisers working from home or in remote offices. What if criminals breach a broker-dealer's cyber wall?
Tips for guarding your devices from cyberattacks
Sophisticated cyberthreats and scams are on the rise, making it more important than ever to protect devices
FPA launches a certificate program in cybersecurity
Aim is to help planners create a cybersecurity program and aid in compliance
Hackers say they hold keys to 10,000 Robinhood accounts
Robinhood-related emails up for sale on the dark web reportedly outnumber those for other brokerages by about 5-to-1
SEC warns of ‘credential stuffing’ cyberattacks
Criminals are increasingly gaining access to login credentials by using programs that troll the dark web for usernames and passwords
Business continuity planning is top compliance concern for advisory firms
Issue eclipses cybersecurity for first time in six years in the Investment Adviser Association survey
The key for advisers still working from home? It’s digital
With back-to-office plans in flux, the acceleration of digital-driven processes among advisers is a trend for the long haul
Wells Fargo bans TikTok over cybersecurity concerns
The bank identified a small number of employees with corporate-owned devices who had installed the video-sharing application
State regulators propose model rule for advisers’ written policies, procedures
The measure would cover supervision, cybersecurity and business continuity, among other areas
Small firms face greater cyber risks amid pandemic
As experts warn of an uptick in attacks, smaller firms enter a riskier environment with fewer preparations
Smarsh acquires maker of cybersecurity tools
The acquisition of Entreda will round out the firm’s compliance offering
SEC publishes observations on industry cybersecurity practices
The agency highlights specific examples of firms' cybersecurity and operational resiliency practices
Making cybersecurity an adviser business opportunity
Advisers could become clients' first line of defense to keeping their financial lives safe
Cybersecurity is a ticking time bomb for 401(k)s
Advisers need to understand the issues, the risks and the roles of each of the parties in the 401(k) food chain that handle data, especially participant data
Small advisers struggle with cybersecurity demands of regulators
Many state-registered investment advisers think they are too small to be on criminals' radar.
Small advisers struggle with cybersecurity demands of regulators
Many state-registered investment advisers think they are too small to be on criminals' radar.
Cybersecurity poses strain between plan sponsors, record keepers
Vendors reluctant to provide details on cyberdefenses.
Retirement plans see rise in cyberattacks
Threats pose new risks for fiduciaries of employer-sponsored plans.
