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Cybersecurity Program Resiliency Considerations in Access Rights and Data Loss Controls (IA/BD) (Intermediate)

October 27, 2021
3:45 PM - 4:45 PM PDT
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Course Description:

As regulatory expectations evolve around information security programs, two areas that stand out are access rights and data loss controls. These two areas are often cited as deficiencies in examinations. They are the most critical components in safeguarding information. This session will focus on the common deficiencies in access management and review best practices for implementing access rights and controls. The expert panel will also discuss the tools and processes firms can use to detect and prevent the misuse or unauthorized access of sensitive information.

Learning Objectives:

After attending this session, you should be able to:

  • Find out if multi-factor authentication is an adequate access control
  • Pinpoint where and how your network may be exploited by hackers
  • Expand your knowledge of available tools and best practices in information security

This course is being taught as part of the Fall 2021 In-Person Compliance Conference. To learn more, visit our main conference webpage.

John M. Van Der Wal
Senior ConsultantNRS

John M. Van Der Wal is a Senior Consultant based in the San Francisco Bay Area since 2014. John brings over 20 years of compliance and industry related experience to his position at NRS, delivering comprehensive compliance solutions and services to all types of investment management firms. Working closely with senior management and staff, John strives to identify regulatory obligations, compliance opportunities and solutions. He also assists firms in developing, implementing and testing comprehensive compliance programs tailored to the firm’s unique practice and business activities, considering resources and initiatives of the firm.

Prior to joining NRS, John was President of Compliance Advisory Services, LLC, providing compliance consulting services to SEC and State registered investment advisors and broker-dealers for 12 years. John also spent 3 years with FINRA, conducting reviews and oversight of member firms from the San Francisco District Office.

He has worked in a variety of securities and investment related environments, including financial services, asset management, brokerage and consulting. John’s industry experience provides a unique perspective offering clients compliance solutions that consider the big picture without ignoring attention to detail.

John earned his undergraduate degree from the University of California at Davis and received an MBA from the University of San Francisco. John is a lecturer, and current certificate holder of the Investment Adviser Certified Compliance Professional Program (IACCP) co-sponsored by NRS and the Investment Adviser Association (IAA), and regularly speaks at conferences and webinars.

Michael Cocanower
Senior ConsultantCEOitSynergy

Michael is the founder and CEO of itSynergy based in Phoenix, Arizona for over 20 years. itSynergy focuses exclusively on providing strategic technology management for small and midsized Registered Investment Advisors (RIAs) on a fixed monthly fee.

Michael has received numerous awards and widespread industry recognition throughout his career. Most recently Michael received his Investment Advisor Certified Compliance Professional (IACCP©). Prior to that Michael also received his Certified Ethical Hacker certification which he utilizes daily to counsel customers on the world of cybersecurity and risk management. In the past, he was recognized by Arizona State University in the inaugural class of Sun Devil Select to recognize successful alumni entrepreneurs. He was named by the Arizona Republic as one of Arizona’s Top 35 Entrepreneurs Under 35.

Michael’s services have been retained by both Microsoft and Cisco as a subject matter expert in the use and implementation of Microsoft technologies in small and medium businesses. Michael has also served on numerous boards and advisory councils including both the United States and International Board of Directors of the International Association of Microsoft Channel Partners as well as the Arizona chapter of Entrepreneur’s Organization (EO) where he is currently the President.

Michael is a Phoenix native and has lived in Arizona his entire life. He graduated from Arizona State University with bachelor’s degrees in both Finance and Computer Information Systems.

For Whom: Designed to increase the professional competence of Investment Advisers and Broker-Dealers.

Suggested Skill Level: Intermediate

Maximum Recommended Credit Hours for this session will include CLE, CFP, IACCP® and CPE.

CA MCLE = 60 minutes
CFP = pending approval
IACCP® = 60 minutes
CPE = 60 minutes

For more information, check out the NRS Continuing Education Guide.