Fatal Funds Excerpt: Hacked! Ch. 19. Is your financial planner in compliance with SEC and FINRA cybersecurity rules? This realm is always evolving. It’s imperative that you ask your planner what s/he has in place to protect your assets. This is a particularly sensitive issue when it comes to your planner using their personal cell phones when conducting trades in your account! ASK questions!! In 2024 eight financial planning firms were fined for lax policies. My novel, Fatal Funds, Release date: 9/2024.
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