A survey from the North American Securities Administrators Association (NASAA) asked state-registered small and mid-sized investment adviser firms how they use websites and technology, such as tablets ...

Increasingly, clients of CPA firms impose confidentiality agreements as a precondition to engaging the firm to perform professional services. These may appear in the form of a separate nondisclosure ...

Client management platforms have become an essential part of an RIA’s tech stack as these tools make it easier to access and update customer information. The Financial Industry Regulatory Authority ...

Ameriprise Financial has filed a lawsuit against LPL Financial, accusing the broker/dealer of misusing private, confidential client information during advisor recruitment “in connection with its ...

Customers rely on brokerages, advisors, accountants and even insurance agents to keep their information safe, secure and confidential. Well before the stay-at-home mandates of the pandemic, state ...

In today’s rapidly evolving financial services landscape, traditional client portals—once simple document repositories—are no longer sufficient. Modern portals are dynamic platforms that enhance ...

With cybercrime increasing at a high rate in recent years, advisors can't afford to overlook its impact on themselves and their clients. Cybercrime has increased by over 600% since the start of the ...

Charles Schwab is taking one of its former reps to court, accusing him of being a “disloyal employee” who allegedly departed wielding trade secrets on thousands of Schwab clients. Schwab filed a ...