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Meeting the Cybersecurity Compliance Challenge

August 20, 2019
1:00 PM - 3:00 PM EDT
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Course Description:

As the industry’s widespread focus on information breaches and risks associated with data protection continues, the SEC and FINRA made it clear in their examinations that cybersecurity is a priority. From examination priority letters to exam findings and reports, the regulators have emphasized maturing expectations in cybersecurity program development. This course is designed to help compliance and technology professionals stay informed about recent and current regulatory priorities and initiatives affecting cybersecurity programs and information security expectations. The course will also provide information about industry best practices including practical tips and summaries of recent notable enforcement and breach cases.

Topics to be discussed include:

  • FINRA and SEC cybersecurity expectations and exam observations
  • The impact of regulatory expectations on the implementation of a comprehensive cybersecurity program
  • Best practices in developing a robust information security program
  • The importance of training, testing, surveillance and documentation

After attending 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
  • Assess the role of your current programs in meeting information security control expectations
  • Stay up to date with best practices and trends

For Whom: Chief Compliance Officers, Management, Compliance Staff at all levels, Legal counsel, Operations Personnel, Technology Personnel

Suggested Skill Level: Intermediate

Instructional Method: Group Internet-Based

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