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Cloud Computing for Compliance

May 17, 2018
1:00 PM - 3:00 PM EDT
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Course Description:

The use of cloud computing has grown in the adviser and broker-dealer business model. Firms are using cloud computing for a variety of reasons whether it is to store required records, to outsource their IT environment, or to utilize the latest in technology applications. Regardless of the reasons for its growth and popularity, cloud computing presents new compliance risks and mitigation challenges. According to research firm Gartner, over the next three years 95% of cloud security failures will be the user’s fault due to misconceptions in the responsibilities associated with cloud computing. With the SEC and FINRA continuing to prioritize cybersecurity in their examination programs, how should firms be addressing their use of the cloud? Recent enforcement actions, regulatory alerts and notices, and examination findings have touched on considerations in the use of cloud computing. Our instructors will explore the various ways cloud computing is used by firms, the security risks associated with each and compliance considerations for responding to those risks.

After attending this course, attendees should be able to:

  • Gain insight into cloud computing uses and obtain practical guidance for identifying and managing information security challenges with each.
  • Identify regulatory initiatives and expectations as they relate to cloud computing
  • Define the various types of cloud services and recognize their differences

For Whom: Designed to increase the professional competence of investment adviser and broker-dealer professionals with legal, compliance and management responsibilities.

Suggested Skill Level: Basic

Instructional Method: Group Internet-Based and Group-Live

Pre-requisites for participation: No prerequisites are required.

Advance Preparation: None

NRS Continuing Education Guide
Recommended CPE Credit: 2 in the Regulatory Ethics field of study
Recommended IACCP® CE Credit: 2
Recommended CA MCLE Credit: 2
Recommended CFP® Credit: Pending