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Registered Rep. July 1, 2004 Alan Plummer |
The Cutting Edge Whether you pay a professional to handle these tasks for you, or you choose to do them yourself, creating a secure office is essential for any advisor.  |
Financial Advisor October 2009 David Lawrence |
Making Yourself Heard Consider new approaches to communicate effectively with clients.  |
Financial Planning April 1, 2010 Brian Hamburger |
Full Disclosure Protecting client privacy is one of the most important responsibilities of any financial advisor. And it's about to become one of the most time-consuming and highly regulated aspects of the business as well.  |
Financial Advisor October 2010 David J. Drucker |
Audit Ready This tool should make your SEC audit go more smoothly.  |
Registered Rep. February 1, 2013 Megan Leonhardt |
Ten Tips That Could Prevent Cyber Criminals from Hijacking Client Data As tablet ownership continues to grow -- doubling since 2011 -- and more than half of U.S. consumers owning a smartphone, according to a 2013 Forrester Research report, advisors need to be more vigilant about data security now more than ever.  |
Investment Advisor July 2006 Thomas D. Giachetti, esq. |
Expert's Corner: Passing Muster Is your electronic record keeping up to SEC snuff? Financial advisors should exercise discretion and diligence regarding electronic record retention and communication procedures. When in doubt, retain the hard copy original or make a phone call.  |
Financial Advisor September 2007 Joel Bruckenstein |
File Trials Today's regulatory, legal and security environments demand a more robust document management solution and financial advisors who downplay these issues may find themselves doing so at their own risk.  |
On Wall Street May 1, 2013 Alan J. Foxman |
When It's Okay to Share Clients Our legal expert discusses things to consider before making a referral to a nonaffiliated third party.  |
On Wall Street April 1, 2010 Alan J. Foxman |
New Firm, Better Annuity, Client Still Not Happy Advisor Q&A: Client complains about annuity surrender charge... Terminated reps and identity theft...  |
PC Magazine August 22, 2008 Matthew D. Sarrel |
Thwarting Identity Theft Identity theft has been a federal offense since 1998. But are we getting any better at dealing with it? Actually, we are. Here are several tips to prevent financial loss from identity theft.  |
Financial Advisor March 2012 Joel P. Bruckenstein |
Secure Your Content SafeSync for Business provides a way to securely share and access your firm's data online.  |
Financial Advisor December 2010 David Lawrence |
The Financial Plan Paradox Advisors try to help clients use their resources more efficiently, but often aren't efficient themselves.  |
Investment Advisor September 2008 Elizabeth D. Festa |
What's NEXT for Reg S-P? A recent ruling against NEXT Financial Group, Inc. creates a minefield of legal issues for financial advisors.  |
Financial Advisor November 2005 Joel Bruckenstein |
Securing Yourself And Clients Identity theft poses a serious threat for financial advisors and their clients. Here are steps to take to prevent identity theft and related security concerns.  |
T.H.E. Journal August 2004 Ozkan & Gunay |
Minimizing Security Vulnerabilities in High-Tech Classrooms Emerging technologies are quickly becoming part of our daily learning and teaching endeavors in academia, however only a few students, faculty members and administrators are aware of the risks and vulnerabilities that exist in their network operating systems.  |
Searcher November 2005 Carol Ebbinghouse |
Another Phine Kettle of Phish: Identity Theft Prevention Ten things to do today to protect yourself against identity theft.  |
Financial Advisor May 2009 David Lawrence |
Worth The Investment The simple truth is that those advisors boasting an efficient document management system can bring their costs way down over time.  |
Financial Planning October 1, 2006 John E. Gebauer |
Your Mailbox Is Full For investment advisors, the regulations for email retention remain murky, but applying some best practices can help.  |
Investment Advisor March 1, 2011 Lewis Schiff |
Protect Affluent Clients' Data -- and Privacy One mistake can break the trust you've established with hundreds of clients.  |
T.H.E. Journal August 2001 Joyce Lambert |
New Aspects of Test Security Have you ever considered the new ways in which your tests are vulnerable to unauthorized access if you store your test files on an office or home computer?  |
InternetNews March 9, 2005 Susan Kuchinskas |
LexisNexis: Lookup For Crime Crooks accessed a LexisNexis subsidiary using misappropriated IDs and passwords to obtain approximately 32,000 names addresses, Social Security numbers and drivers' license numbers, which could be used for identity theft.  |
Financial Advisor April 1, 2010 |
Frontline News Advisor news: Is Your Client's Private Info Secure?... Hybrid Brokerages Shine Light On New Space... CFP Aspirants Need A Plan... Wanted: Silver Bullet For Retirement Income... more...  |
PC Magazine June 13, 2011 Eric Griffith |
How To Hide Your Data Want to keep your private files under wraps without making it obvious they're important? Rather than encryption, try hiding them, so prying eyes don't even know they exist.  |
RootPrompt.org April 17, 2000 Lance Spitzner |
Digital Certificates & Encryption Digital Certificates & Encryption - how they work and apply to Internet Commerce.  |
Financial Planning May 1, 2008 Elizabeth O'Brien |
Regulatory Tussle Independent broker-dealers and the Securities and Exchange Commission have found themselves in a tug-of-war over how best to serve clients when registered representatives depart one firm for another.  |
Popular Mechanics October 20, 2008 John Brownlee |
Keep Your Data Safe Online: Complete Guide to Online Privacy Though we can't promise that these tips will keep you 100 percent safe from hackers, they'll certainly make it a lot harder for interlopers to read your e-mail, fill your computer with spyware and track your Web-surfing habits.  |
Wall Street & Technology November 17, 2003 Jim Middlemiss |
Under Attack Forget about locking the windows and the doors, financial-services firms now have far more to fear from worms, horses and bugs.  |
Bank Systems & Technology March 5, 2010 Penny Crosman |
Most Banks Lack Key Data Privacy, Security Controls A Ponemon Institute study finds that while most financial services firms take some steps toward data security, many come up short in critical areas.  |
Investment Advisor August 2005 Thomas D. Giachetti |
Come Right In Here are some issues pertaining to an advisor's compliance-readiness, including a list of some of the more substantive issues that are currently the focus of SEC examiners.  |
Information Today November 4, 2014 |
DataNumen Offers Free Password-Recovery Tool DataNumen, Inc. released a free Windows-based utility, DataNumen Outlook Password Recovery, which recovers passwords from encrypted Outlook files.  |
Financial Advisor September 2005 Bruce W. Fraser |
How To Survive The SEC Assault Advisors cite a new, more demanding compliance environment. Despite the extra financial and time burden, many advisors feel much better about their businesses, having gone through the compliance process.  |
PC World April 2004 Scott Spanbauer |
Lock Down Your PC Hackers. Spammers. Even rogue coworkers and employees. How can you keep the bad guys out and the good data in? Safeguard your system's perimeter with these 29 beyond-the-basics security steps.  |
Commercial Investment Real Estate Sep/Oct 2010 Rich Rosfelder |
Time to Share? Cloud-computing platforms, which provide Internet-based storage and services including secure file sharing and syncing, have become indispensable to professionals in many collaborative industries, including commercial real estate.  |
Financial Planning July 1, 2011 Donna Mitchell |
Tweet Away It's been a struggle to get advisors to embrace social media because they don't fully recognize its business value.  |
Bank Systems & Technology March 29, 2006 Joanne VanAuken |
The Top 10 Information Security Myths Here are 10 network security myths that bear further examination.  |
Investment Advisor June 1, 2011 Dan Skiles |
Ten Easy--And Cheap--Tech Tips to Improve Efficiency From best practices to technical assistance, these tips can help advisors run their office more efficiently.  |
Investment Advisor May 2008 Melanie Waddell |
Donohue on the Rand Report & Paulson SEC exec doesn't foresee a single regulator for advisors and broker/dealers.  |
Investment Advisor January 1, 2011 Thomas D. Giachetti |
Keeping Political Contributions Compliant A new rule on political contributions by investment advisors may make donations dangerous.  |
Investment Advisor May 2006 Frank Troise |
The IA Soapbox: Protect Yourself Here's how this financial adviser became a victim of identity theft, what individuals can do to protect themselves, and what financial advisers can do to help.  |
PC Magazine March 7, 2008 David Cardinal |
Secure Your E-Mail and IM Communications Are you concerned that anyone can intercept and read your e-mail and instant messages? You should be.  |
On Wall Street March 1, 2010 Mark Astarita |
Advisors Allowed To Get Social Some firms will continue to ban social media, while others will use the necessary software to allow it-just don't make a recommendation on one of the sites.  |
On Wall Street October 1, 2008 Walper & McBreen |
Identity Thieves Target the Affluent Assure your clients that you're safeguarding their information.  |
Investment Advisor June 2008 Irace & Mehta |
Security in a New Age How to protect your firm from 21st century online criminals  |
Registered Rep. April 1, 2008 Christina Mucciolo |
The Eclipse of Paper The process of scanning documents and storing them using document-management software has finally taken hold of the mainstream in the brokerage industry.  |
InternetNews December 7, 2005 Roy Mark |
Consumers Whistling Past the Security Graveyard Less than 20 percent of American home computers are adequately protected against viruses, spyware, hackers and other security threats. Nevertheless, an overwhelming majority of users believe they are safe from an attack.  |
Investment Advisor May 2007 Joni Youngwirth |
Risk Management--for Yourself Think you've got a handle on risks to your financial advisory practice? Think again.  |
On Wall Street April 1, 2011 Alan J. Foxman |
The Whole Truth Advisor Q&A: Disclosure of conflicts of interest... Clients testimonials as advertising... Advisor representatives and outside business activities... Form ADV on a CD... Qualifications needed on Form ADV...  |
On Wall Street July 1, 2013 Alan J. Foxman |
Rebuilding Your Career After FINRA Sanctions Our legal expert discusses how to deal with FINRA investigation.  |
Investment Advisor October 2005 Melanie Waddell |
The Playing Field: Welcome to the Family Becoming a wealth manager is not quite as easy as it looks. But the mid-tier millionaires are underserved, so honing skills and capturing some of them as clients should be on every financial adviser's list.  |
Investment Advisor April 2009 Mike Patton |
Values Advisor The sixth in a series of first-person articles in which the author chronicles his own road to independence from employee advisor to fully independent RIA.  |