Retirement Clearinghouse Issues Alert of IRA Data Breach
Firm alerts more than 10,000 people to watch out for identify theft after Social Security and IRA numbers may have...
Tag: cybersecurity
Proposed SEC Cybersecurity Rule Requires Prompt Notice to Prevent Contagion
The SEC reopened the comment period on its cybersecurity rule last week, in part so advisers can take more time...
SEC Looks to Overhaul Regs SCI, SP
The SEC’s proposed updates would expand the institutions subject to various data security requirements and strengthen data breach notification requirements.
SEC Reopens Comment Period for Proposed Cybersecurity Rules
The rules from the February 2022 proposal include new recordkeeping requirements, and industry actors requested more time to review them.
Personalization Push Heightens Need for Advisers to Vet Cybersecurity
As advisers seek more participant personalization from retirement recordkeepers, they also need to ramp up their focus on cybersecurity from...
Practice Management / Cybersecurity
Cyber Ready
Foil potential breaches with strong data security practices.
SPARK Releases Updated Data Security Best Practices
Updates were developed by SPARK Institutes data security oversight board, are consistent with the DOL best practices.
Cybersecurity Experts Warn of Increased Fraud Risk to Retirement Plans
Cybercriminals are becoming more sophisticated and patient in their approach due to the massive payouts fraudsters can manage to steal...
Apex Group Expands Global Compliance Solutions to the U.S.
The expansion seeks to help address concerns about ESG, anti-money laundering and financial crime.
Adviser Product Partnerships
Novata and S&P Global Market Intelligence partner to support private market investors; Fidelity Institutional and Salesforce partner to deliver digital...
PANC 2022: Reg BI Compliance Tips From the SEC
The enforcement of Regulation Best Interest is currently one of the major projects at the Securities and Exchange Commission.
Publisher’s Note
Being Cyber Aware
As cybersecurity threats proliferate, advisers can emphasize the need for vigilance.
Cybersecurity Is Everyone’s Responsibility
Retirement benefit plans have deep pockets—filled with both assets and sensitive information—so it only makes sense that they are a...
Don’t Be Afraid of DOL, IRS Audits
Assuming there is no malfeasance or criminal activity going on, the process of a DOL or IRS audit does not have to be unpleasant, even if minor issues...
Actuary Lawsuit Highlights Data Breach Risks
A financial services firm is accused of failing to properly secure and safeguard personally identifiable information provided by and belonging...
How Financial Services Employees Feel about Cybersecurity
A new study shows that most people working in regulatorily sensitive industries such as financial services are aware of the...
Financial Literacy Commission Eyes Climate Change and Crypto Scams
During a recent hearing, members of the commission discussed the interplay of climate change, crypto assets and the financial wellness of everyday Americans—pledging to take coordinated actions to...
SEC Proposes Broad Cybersecurity Disclosure Regulations
The securities market regulator has proposed rule amendments meant to enhance and standardize disclosures regarding cybersecurity risk management and incident reporting by public companies.
Aura’s Digital Protection Solutions Added to MetLife Group Benefits Platform
The solution will safeguard employees' digital identities.