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SEC moving forward with fiduciary rule

Regulatory/Compliance

The SEC is working on a fiduciary rule proposal, Jay Clayton, the agency’s chairman, said this week during a hearing by the House Financial Services Committee. Clayton said the SEC wants to “work with the Department of Labor” on the proposal, according to ThinkAdvisor. In addition, Clayton told lawmakers that he was concerned about fiduciary rulemaking by state governments. See the story below. Also, Dan Skiles of Shareholders Service Group tells advisors in a column at ThinkAdvisor that “your smartphone could easily be the weakest link in your firm’s security protection plan.” He suggests creating a security requirements checklist for each type of phone used by employees and start with how to create a secure passcode. Read the full details below.

SEC ‘Working on’ Fiduciary Rule, Concerned About State Laws: Clayton

By Melanie Waddell

Source: ThinkAdvisor

Securities and Exchange Commission Chairman Jay Clayton told lawmakers Wednesday that the agency is “working on” a fiduciary rule proposal and that he’s concerned about the state fiduciary standards that are cropping up.

http://www.thinkadvisor.com/2017/10/04/sec-working-on-fiduciary-rule-concerned-about-stat

 

Smartphone Security: Take It Seriously

By Dan Skiles

Source: ThinkAdvisor

When we discuss the security of your systems and data, a lot of our attention is focused on traditional hardware and software. However, more business is being conducted using smartphones. So an important question arises — does your smartphone get the same level of security attention as other tools?

http://www.thinkadvisor.com/2017/10/02/smartphone-security-take-it-seriously

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