July 15, 2014 12:00 PM
With email hacking, website attacks, and identity theft happening by ever more sophisticated means, the importance of cybersecurity for financial planners and advisors is intensified. In response, the SEC recently announced an initiative to assess risk and identify the means by which companies can keep their clients information protected from outside threats.
As part of this initiative, the SEC will conduct cybersecurity examinations of roughly 50 broker-dealers and independent advisors. In a rare move the commission is allowing advisors the opportunity to prepare for their examinations by making available sample questions and types of information that will be asked and required.
View this webinar on demand from Financial Planning and On Wall Street magazines that brings clarification to the examination. Our experts will walk you through the most common threats advisors and planners are confronted with, and highlight important aspects of the SECs initiative to be aware of and prepared for.
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***There is a Q&A Session at the end of the presentation.
Partner, McKenna Long & Aldridge LLP
George represents a wide array of clients, including public companies and their officers, directors, and employees and financial industry professionals in investigations and litigation by the U.S. Securities and Exchange Commission, the Department of Justice, Financial Industry Regulation Authority, and other federal and state law enforcement and regulatory agencies. He also advises clients with respect to corporate governance, internal controls and compliance programs. His compliance-related work has involved counseling clients on various aspects of the securities laws and drafting policies and procedures, including codes of conduct, insider trading, anti-corruption and FCPA, and other policies. He was a senior counsel in the Division of Enforcement of the U.S. Securities and Exchange Commission both in New York and Washington, DC.
Vice President, Red Oak Compliance Solutions
Stephen brings a wealth of experience in developing mission critical software applications for the financial services industry. He has 25 years of experience in software sales and development, sales management, marketing, and operations. Stephen served as Director of Application Engineering at NFP Securities where he led a team of developers to create custom software for the broker/dealer and RIA. Stephen was the Managing Director of Operations for Perficient, Inc., a public company with 220 consultants. Steve is a member of the National Society of Compliance Professionals; a member of the Project Management Institute; has both Microsoft and IBM technical certifications; and has a FINRA Series 7.
Rachel F. Elson is executive editor of Financial Planning, and a longtime business and financial journalist. Prior roles included managing editor at Inc.com and CBS MoneyWatch.com; she was also an editor on MSN Money's pioneering multimedia journalism team, which won back-to-back Gerald Loeb awards.