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Thought Leadership in Action

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,...

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