“Getting Practical with Cyber” Series, Part III: Updating Your Cyber Policies to Align with Recent SEC Exams

Cyber regulations are changing with the speed of light, with the SEC, FINRA, CFTC, and NFA all issuing risk alerts and other guidance in the last two years. This comes on the heels of state regulations getting more and more stringent with respect to data protections. With regulators now issuing detailed cybersecurity deficiencies during regulatory examinations, the opportunity is ripe to dust off your cyber policies and update them to stay ahead of the issues tripping up other firms during exams.  Hear our expert panel discuss the latest cyber deficiencies showing up, and actionable tips on how you can shore up your program to stay ahead.

Speakers

  • Andras Teleki – Chief Legal Officer & Head of Compliance, M3Sixty
  • E.J. Yerzak – Director of Cyber IT Services, CSS

Fill in the form below to download this ComplianceCast

Loading form...

Subscribe to CSS Blog

CSS frequently publishes blog posts which are written by our team from their observations in the field, at conferences and through experiences with compliance professionals. These posts are designed to further knowledge and share industry best practices. Topics run the gamut, including Form ADV, cybersecurity, MiFID II, position limit monitoring, technology challenges and more. Complete and submit the brief form below to receive notifications when we publish new content.

Loading form...

Latest Content

10 Compliance Tips for Starting 2020 Off on the Right Foot

No rest for the weary. With the new year upon us, our attention turns to new budgets, change and planning. With renewed energy as we roll into January thaw, we worry if our compliance program is ready. To give you a leg up, here are 10 tips for investment adviser and broker-dealer compliance teams for … Continued

Compliance Lessons Learned in 2019

Now that we are in mid-January, a few things are evident. We have likely broken one or more New Year’s resolutions, the effect of any rest over the holidays has worn off and we need to complete our annual compliance reviews for 2019 and firm up our 2020 plans. While I don’t have solid advice … Continued