Cyber security

Collaboration is key to the effort since there “is no competitive advantage to be the only firm engaged in data protection."

The accusations shed light on the massive back-office systems maintained by regulators and the difficulty of keeping the sensitive information in them private.

Commission prioritizes retail investors as OCIE issues its must-read compliance letter.

From emerging technologies to new regulatory scrutiny, Aite Group analysts expect to see many firms redefine their business models in 2018.

The industry has resisted the SEC’s Consolidated Audit Trail surveillance system ― dubbed CAT ― in its current form based on cybersecurity concerns.

Chairman Jay Clayton and top SEC brass are putting advisors on notice. The regulator is drilling down on investor protections, while warning firms on cybersecurity and AML compliance.

It's a bigger challenge to keep pace with a fast changing industry, CEO Robert Cook said.