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Summary: The U.S. Securities and Exchange Commission said Monday that the hackers who broke into its corporate filing system last year accessed two people's personal information, a change from the agency's previous assessment that it didn't believe such data had been compromised.
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Summary: In recent years, more retail investors have started to make the distinction between a fiduciary duty and a suitability standard. This, of course, is due to the Department of Labor’s years-long effort to rewrite the rules for retirement accounts, which has gained attention from segments of the mainstream media that don’t typically cover our industry.
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Summary: In recent years, more retail investors have started to make the distinction between a fiduciary duty and a suitability standard. This, of course, is due to the Department of Labor’s years-long effort to rewrite the rules for retirement accounts, which has gained attention from segments of the mainstream media that don’t typically cover our industry.
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Summary: Countless firms—the vast majority, in fact—in the industry have not adopted basic fintech into their practices. It could be they are just unaware of the options before them, but considering the many trade publications, events and advertising opportunities highlighting fintech offerings, I would suggest the opposite is actually occurring: Advisors, wealth managers and other financial professionals are simply overwhelmed by their options and are defaulting to nothing.
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Summary: More than 1,200 coordinated examinations of state-registered investment advisers by state securities examiners in 37 jurisdictions uncovered 698 deficiencies involving cybersecurity, the North American Securities Administrators Association (NASAA) said.
