The regulators’ widespread focus on information breaches and the risks associated with data protection clearly signal the regulators’ desire to have all registered investment advisers and broker-dealers develop and implement cybersecurity programs tailored to meet each firm’s own business model.
This seminar is designed to help you understand what the SEC and FINRA are asking your firm to do, and to give you the tools to effectively design and implement your firm’s cybersecurity program. Join our information security experts as they discuss the details of a comprehensive information security program from a compliance perspective.
Topics to be discussed include:
- Why have an Information Security Program (ISP)
- Internal, external, and third-party risks Performing a cybersecurity risk assessment
- Written policies and procedures
- Coordinating ISP with BCP
- Integrating cybersecurity into your testing plan
- Resources for determining industry best practice to stay ahead of the curve
- Training, testing, surveillance and documentation
- What to do when a security breach occurs
After completing this course attendees should be able to:
- Determine which federal and state regulations apply to your firm’s cybersecurity requirements
- Survey the risks and protections associated with running an IA or BD business
- Conduct a cybersecurity risk assessment to help your firm identify and manage related risks and gauge its cybersecurity preparedness
- Establish a protocol for documenting, testing and updating the firm’s cybersecurity preparedness in detailed, written policies and procedures
- Stay up to date with best practices and trends
Designed to increase the professional competence of investment adviser and broker-dealer professionals with legal, compliance, operations, technology and management responsibilities.
Suggested Skill Level: Intermediate
Instructional Method: Group Internet-Based
Prerequisites for participation: No prerequisites are required.
Advance Preparation: None.
Continuing Education Credits:
NRS Continuing Education Guide
Maximum Recommended CPE Credit: 2 in the Regulatory Ethics field of study
Maximum Recommended IACCP CE Credit: 2
Maximum Recommended CA MCLE Credit: 2
Maximum Recommended CFP Credit: Pending