Ever-increasing cybersecurity breaches and continuing threats against financial services firms require investment adviser and broker-dealer compliance and IT professionals to have a robust program in place to protect client and firm information. Your clients and regulators fully expect no less.
“Cybersecurity threats know no boundaries. That's why assessing the readiness of market participants…will continue to be an important focus of the SEC,” the SEC’s Chair Mary Jo White has said. The Commission is squarely focused on how firms assess their risks and vulnerabilities, prepare for a wide-variety of scenarios, train employees and implement concrete response plans in place in the event of an incident.
SEC examiners and enforcement staff have both been very active in the critical area of cybersecurity. Examiners are asking tough questions about firms’ cyber programs. And SEC enforcement has brought cases for a failure to safeguard customer data and a failure to adopt proper cybersecurity P&Ps prior to a breach. Implementing cybersecurity strategies to ensure SEC compliance is more important than ever. Firms have been warned to avoid “apathy” in instituting cybersecurity protections.
Take Advantage of Our IA Watch Subscriber Discount of $250
Reserve your spot at IA Watch’s 4th Annual Cybersecurity for Financial Services conference, come to the Harvard Club in New York City on January 23 and go home with actionable details on:
100% MONEY-BACK GUARANTEE: We are so convinced you will find Cybersecurity for Financial Services invaluable that we make this unconditional pledge: If you attend and don’t think the conference was worth the registration fee, we will refund the full fee with no questions asked. Carl Ayers, Conference Chairman and Publisher of IA Watch, a service of Regulatory Compliance Watch.