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Navigating the Financial Regulations of Cybersecurity

  • Speaker: LISA MARSDEN, IACCP

      Duration: 60 Min

      Product ID: TL000059

      Course Level: Intermediate


Russians hacking the elections, activist hacking for political reasons, competitors hacking each other, fraudsters hacking for profit, hackers for hire. Know why you are a target; learn how to incorporate policies and procedures and to test for the effectiveness of those policies and procedures. Learn what you may be liable for even if you have a cyber plan.

The regulators are constantly issuing alerts, and enforcements in the area of cyber-security in the financial industry. They do this as a way to help protect the investor and maintain capital formation. Advisors, Custodians, and Third Parties all work together to offer services to the Investor and each has a responsibility to keep the clients personal identifiable information safe as well as to defend and remediate in the case of an incident. This session will review the cyber security landscape in the financial services industry.

Objectives of the Presentation

  • 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

Why Should you Attend

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. 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.

Areas Covered

  • 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

Guest Speaker

LISA MARSDEN, IACCP, Financial Advisor

Lisa M. Marsden, IACCP ®, is the president and founder of Coulter Strategic Services. Coulter Strategic Services provides financial advisors and compliance consulting firms with compliance and project management services as well as customized compliance training. Prior to starting her own firm, Ms. Marsden was a partner and member of the C-Suite at Financial Advisory Firms in Boca Raton Florida. She has been in the financial services industry for over 25 years. Ms. Marsde  More Info