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Cybersecurity Program Testing: Lessons Learned in Crisis
The pandemic has impacted the way firms operate and people behave. As public and private restrictions are imposed to address health concerns, they affect the way firms operate. Firms that may have never had remote workers now have large percentages of their workforce operating remotely. Virtual technologies that were seldom used for business purposes are now a mainstay. Virtually overnight the landscape for cybersecurity threats and attacks on businesses have grown. This session will address lessons learned from the COVID-19 outbreak and how firms can incorporate security and testing practices to help protect their cyber environment.
After attending this session, attendees should be able to:
- Examine the threat landscape of remote work environments and technology communication tools
- Incorporate best practices from cybersecurity lessons learned during the Pandemic
- Outline a testing protocol for a dispersed workforce
This virtual course is being taught as part of the Fall 2020 Compliance Conference. To learn more, visit our main conference webpage.
President and CIO, Artemis Global Security, LLC
Tim is a lifetime technology expert dating back to the early 1980’s utilizing DEC systems and VAX/VMS operating systems. In the investment business, he installed and configured first-generation quotron (ILX) and Instinet machines for hedge fund operators.
He has managed IT security for several business, including his own and non-profit organizations. He prides himself on a common sense and practical approach to identifying and mitigating risk.
Tim has been president of his own research and consulting firm, Lakeville Research LLC, advising hedge funds, private equity firms, broker dealers, and high net-worth individuals. His analysis of equity, commodity and currency markets has been published in several industry periodicals, including Barron’s. He has conducted risk analysis, structured accounts, and served as portfolio manager for hedge funds and private clients.
His industry and personal experience serves as a bridge to it security and regulatory issues for critical infrastructure firms. He has a B.A. in English from Yale University and a M.F.A. from Columbia University. He is Series 7 and 66 licensed (inactive).
Chief Compliance Officer and Chief Information Security Officer, RDA Financial Network
Chris is an Investment Adviser Certified Compliance Professional (IACCP®) and has served as both a Chief Compliance Officer and Chief Information Security Officer for RDA Financial Network. Prior to joining RDA Financial Network, he worked at the trading and bond desk at Cambridge Investment Research a Broker/Dealer.
Chris has expertise in the Investment Adviser’s Act of 1940 and in a Registered Investment Advisory firm’s compliance responsibilities toward Cyber Security Risk Mitigation Practices. Chris custom builds Policies and Procedures for RIA firms which include but are not limited to Business Continuity and Disaster & Recovery Plans, Information Security Policies, Communication Policies, Red Flag Policies, Incident Response Protocols, Password Protocols, Data Destruction Policies & Procedures, Vendor Management due diligence and onboarding checklists.
Chris has taught classes on Compliance, Cyber Security training, Estate and Financial Planning for; RDA Financial Network, TDAmeritrade, his affiliated Broker/Dealer United Planners, the University of Iowa and NRS.
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, IACCP® and CPE .
CA MCLE = 75 minutes
IACCP® = 75 minutes
CPE = 75 minutes
For more information, check out the NRS Continuing Education Guide.