$200 – $700

Navigating the Financial Regulations of Cybersecurity

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This training program will equip attendees with basic everyday tools to keep cyber criminals at bay. The course will also emphasize the need for effective communication between team members of a financial firm.

Computer intrusions are the cyber actor’s portal to invade and burglarize homes and business across the nation and the threat will only continue to grow. The financial industry is faced with increasingly complex threats almost every day. These threats challenge traditional models of law enforcement, IT management and regulations. The SEC’s Cyber Sweep Exam is not only another regulatory task for financial advisors but also serves as an outline to help your firm defend against the cyber criminals.

Education, awareness and communication will help defend against the criminal element and protect clients and firms. The ongoing impact to financial firms is of critical importance to all. This session will help educate attendees on their role in the defense process as well as review the regulatory landscape surrounding this topic.

Why You Should Attend:

  • The defense role and obligation of the financial firm as protector of client data
  • Effective communication between team members of a financial firm
  • Basic everyday tools to keep cyber criminals at bay
  • How to use the SEC Cyber Security Sweep Exam to design your in house cyber defense plan
  • How to effectively perform due diligence on outsourced vendors
  • Ways to stay educated on cyber defense
Areas Covered in the Session :
  • A sample organizational structure of a financial advisor to communicate the information each areas needs in order to have a more effective cyber defense plan
  • Communication tools for team members
  • Tools and tips to help combat cyber fraud
  • SEC and federal regulations relating to cybersecurity or client privacy
  • Outline of vendor due diligence reviews
  • Educational resources
Who Will Benefit:
  • Financial Planners CFPs
  • Financial Advisors
  • Investment and Portfolio Managers
  • Chief Compliance Officers
  • Chief Information Officers
  • Compliance professionals in the financial area
  • IT professionals working in or with financial firms
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Refund Policy

Refunds up to 7 days before event

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