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Cybersecurity Breaches: Information Security Planning, Incident Response, and Breach Resolution

July 13, 2021
10:45 AM - 12:45 PM CDT
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It is not a question of “if” but “when.” As investment advisers become more dependent on automation and technology systems for providing service and maintaining information, the need for maintaining adequate security incident response plans increases and expands.

This session is designed to work through breach examples to help address policy, procedures and remediation activities. Expert instructors will discuss approaches to overcome suspected breach challenges related to cloud-based technology, remote employee access, back-up services, data protection and record retention. Best practices will be discussed to help objectively assess breach considerations and remediation activities.

This virtual course is being taught as part of the July Investment Adviser Professional Development Symposium.

After attending this session, attendees should be able to:

  • Identify what are commonly exploited systems and steps to address their vulnerability
  • Explore response objectives as they relate to certain types of technology breaches
  • Assess the implications of response steps in resolving potentially exploited technology environments
  • Help your firm gauge its information breach preparedness and implement an appropriate response program

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

Suggested Skill Level: Basic

Instructional Method: Group Internet-Based

Prerequisites for participation: No prerequisites are required.

Advance Preparation: None.

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