Information security – Investment Executive

BigTechs’ foray into financials draws scrutiny

jameslangton — Fri, 02 Feb 2024 18:55:06 +0000

European regulators worry about oversight weaknesses

jameslangton — Wed, 13 Sep 2023 21:02:56 +0000

Firm rejects regulator's allegations, cites political motive for action

jameslangton — Tue, 08 Aug 2023 15:40:56 +0000

Regulators fined firms a total US$549 million for record-keeping failures

jameslangton — Mon, 23 Jan 2023 20:37:35 +0000

Groups issuing financial planner and advisor titles must meet cybersecurity guidelines

jameslangton — Fri, 15 Mar 2019 17:41:02 +0000

The guidance outlines the types of incidents that must be reported, and what reports should include

Alan — Thu, 12 Apr 2018 20:00:55 +0000

The goal is to help clients better protect their data

Pablo — Sun, 27 Aug 2017 22:00:00 +0000

Resist the temptation to help clients in a way that breaches your legal and regulatory obligations

Alan — Thu, 28 Jul 2016 10:00:00 +0000

Financial advisors need to balance the way they transmit information with the importance of the data they are sending

Alan — Mon, 08 Jun 2015 18:50:00 +0000

The online tool includes features such as a guidebook, simple explanations and access to relevant U.S. websites

Alan — Wed, 13 May 2015 19:40:00 +0000

DTCC says many have increased their investment in technology to detect and prevent cyber threats