July 28, 2015
- Managing Director, Institutional Oversight and Control, TD Ameritrade Institutional
“As Managing Director of Institutional Oversight and Controls, my team and I are committed to helping advisors safeguard and protect client accounts at TD Ameritrade through education, collaboration with industry experts, and building awareness around industry trends.”
-Bryan Baas, Managing Director, Institutional Risk Oversight and Controls
Cybersecurity risks have prompted the Securities and Exchange Commission (SEC) and state regulators to increase oversight and enforcement of advisor security measures. Regulators are focused on how registered investment advisors protect client information as part of their overall fiduciary responsibility.