Investment Managers Share Steps They Take for Compliance
A survey finds cybersecurity is registered investment advisers' (RIAs) highest concern.
Tag: cybersecurity
Human Error Leaves Retirement Plan Data Exposed
Experts in financial services cybersecurity are confident in most organizations’ technical strategies—in their use of sophisticated firewalls, encryption and network...
SEC Examiners Warn About Cloud Storage Risks for Advisers
SEC inspection staffers have identified growing security risks associated with advisers’ storage of electronic customer recorders in cloud-based platforms—and they will be watching for non-compliance in this area.
Advisers’ Leading Role in Cybersecurity
It is important to ask what cybersecurity means to retirement plan service providers and fiduciary advisers—and what steps they can...
AICPA Offers Best Practices for Benefits Record Retention
The American Institute of Certified Public Accountants issued a plan advisory that reminds plan sponsors of ERISA record retention rules and also offers best practices for protecting personal...
Compliance News
Legislative and Judicial Actions
Fiduciaries Get Final Win in Disney SuitA federal appellate court has affirmed a lower court decision in a lawsuit against...
Milliman Launches Account Lock Feature
The solution allows participants to “lock down” their accounts to prevent any distributions or loans from being initiated.
Cybersecurity Is RIAs’ Biggest Compliance Concern
This is the fifth year in a row they have identified cybersecurity as their No. 1 concern.
fiduciary fitness
Cybersecurity and Benefit Plans
It is undetermined whether participants’ private data is protected