Course Description
It is not a question of “if” but “when.” As investment advisers become more dependent on automation and technology systems for providing service and maintaining information, and regulators shine a spotlight on cybersecurity in proposed regulations, the need for maintaining adequate security incident response plans increases and expands.
This session is designed to work through breach examples to help address policy, procedures and remediation activities. Expert instructors will discuss approaches to overcome suspected breach challenges related to cloud-based technology, remote employee access, back-up services, data protection and record retention. Best practices will be discussed to help objectively assess breach considerations and remediation activities.
Learning Objectives
After attending this session, attendees should be able to:
- Identify what are commonly exploited systems and steps to address their vulnerability
- Explore response objectives as they relate to certain types of technology breaches
- Assess the implications of response steps in resolving potentially exploited technology environments
- Help your firm gauge its information breach preparedness and implement an appropriate response program
- Discuss the impact of pending regulations on breach handling and disclosure, as well as new requirements for notification and executive level involvement
Speakers
Coming soon!
Who is this for?
For whom: Designed to increase the professional competence of investment adviser and broker-dealer professionals with legal, compliance, operations, technology and management responsibilities
Suggested Skill Level: Basic
Instructional Method: Group Internet-Based
Prerequisites for participation: No prerequisites are required
Advance Preparation: None
Continuing Education Credits
COMPLY Continuing Education Guide
Recommended CPE Credit: 2 in the Regulatory Ethics field of study
Recommended IACCP® CE Credit: 2
Recommended CA MCLE Credit: 2
