October is Cyber Security Awareness Month!
In a world where data breaches and cyber threats are rising, safeguarding client information is a top priority. View this insightful video below in which Ebix SmartOffice and Brian Edelman, CEO of Financial Computer, Inc. (FCI), shares invaluable insights on "Guard Yourself Against an Expensive Data Breach." Edelman reviews the 13 crucial questions you must ask yourself to evaluate your ...
How the SEC Will Focus on Compliance in 2022
The Securities and Exchange Commission outlined its approach to compliance this year in a recent Risk Alert. The commission plans to take a closer look at the effectiveness of compliance policies and procedures, program oversight and the disclosures financial advisers make to their clients and shareholders. Here’s what financial advisers can do to prepare themselves for examinations in 2...
What the SEC Cybersecurity Crackdown Means for Financial Advisers
The U.S. Securities and Exchange Commission takes protecting clients’ data seriously. In August, the SEC ordered eight financial firms to pay a combined $750,000 in fines for shortcomings in cybersecurity protections that led to client data being exposed over a four-year period. The firms were charged with violating the so-called Safeguards Rule, which requires registered broker-dealers,...
