From InvestmentNews
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Summary: The Securities and Exchange Commission's review of its advertising rule is raising hopes that it will result in easing investment advisers' use of social media.
From Financial Planning
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Summary: The biggest threat to your firm’s security may be lurking in your inbox. Email is a primary means for RIA communication with clients, vendors, other third parties and within a firm. As a result, most data and security breaches happen through email, usually due to some combination of user error and gaps in cybersecurity protection. The potential risks are so great that the SEC has enacted privacy laws concerning the use, storage, transmission and handling of personal information.
From InvestmentNews
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Summary: Financial advisers, like society at large, get an awful lot wrong about millennials — that group of 20- and 30-somethings who are an obsessive focus of generational discussion.
From InvestmentNews
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Summary: Strong growth in the number of registered investment advisory firms brings with it the greater likelihood that they'll be enforcement targets, recent state statistics show.
From ThinkAdvisor
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Summary: Email spam may be looked at as the poor cousin to bigger hacking episodes, but in a new study by the Securities and Exchange Commission, “spoofed or manipulated electronic communications are an increasingly familiar and pervasive problem,” the report stated. In fact, the FBI 2017 Internet Crime Report stated that “business email compromises” caused more than $5 billion in losses since 2013, with an additional $675 million in adjusted losses in 2017, “the highest estimated out-of-pocket losses from any class of cyber-facilitated crime during this period,” the SEC report stated.
