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Navigating the Financial Regulations of Cybersecurity
- Organizational Structure of a Financial Advisor to communicate the information each area need 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 Cyber Security or Client Privacy
- Outline of Vendor Due Diligence Reviews
- Educational Resources
- 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 the Cyber Criminal at bay
- Learn how to use the SEC Cyber Security Sweep exam to design the in-house Cyber Defense Plan
- How to effectively perform due diligence on Outsourced Vendors
- Ways to stay educated on Cyber Defense
Overview of the webinar
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 daily. 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 Criminal. Education, awareness and communication will help defend against the criminal element and protect our clients and our firms. The ongoing impact to financial firms is of critical importance to all. We hope this session will help educate you on your role in the defense process as well as review the regulatory landscape surrounding this topic.
Who should attend?
- Operations Managers
- Chief Compliance Officers
- Chief Executive Officers
- Chief Operating Officers
- Chief Information Security Officers
- Financial Advisors
- Financial Planners
- Investment Managers
- Portfolio Managers
- IT Personnel
- Risk Managers
Why should you attend?
To gain an advantage in the ever-evolving regulatory landscape of the financial services industry.
Faculty - Ms.Lisa Marsden
Lisa M. Marsden is the President and Founder of Coulter Strategic Services. Coulter Strategic Services provides financial advisors and consulting firms with Compliance and Project Management services. Prior to creating Coulter Strategic Services, Ms Marsden was a shareholder and member of the C-Suite for Financial Advisors in Boca Raton Florida. She has been in the financial services industry for over 25 years. Ms Marsden has a degree in Computer Programming from Keiser University and holds the Investment Advisor Certified Compliance Professional Designation and Claritas ® Investment Certificate. She also held positions in the Banking Trust Industry at Midlantic National Bank and Trust, Comerica Bank & Trust and Barnett Bank Asset Management. Ms Marsden has moderated regulator panels and conducted many webinars related to compliance training.