Cybersecurity

FINRA has observed an increase in cyberattacks and outages at third-party vendors used by brokerage firms

Humans are the most vulnerable attack point, Allvue Systems' Frank Vesce warns

'It is essential for firms to have playbooks in place,' Partners Group's Patrik Bless says

'CrowdStrike is a warning that it’s time to think about it,' Dorsey & Whitney's David Tang says. 'What is the backup plan for your mission-critical ...

Ninety-six percent of LP respondents said succession planning should be a priority, Barnes & Thornbug study finds

FINRA suggests broker-dealers need to make sure their IT personnel are aware of the quishing attack vector

A new SEC enforcement case contains lessons on what not to do if your firm suffers a ransomware attack

"Also concerning is the Commission’s decision to stretch the law to punish a company that was the victim of a cyberattack. While an enforcement action ...

The "threat actor was able to utilize deceptive hacking techniques to install encryption software on certain" of the adviser's "computers (mostly virtual machines) and exfiltrated ...

While this new final rule takes effect Aug. 2, the compliance dates are February 2026 for larger entities and August 2026 for smaller ones