How to Effectively perform due diligence on outsourced vendors and Navigating SEC and Federal Regulations of Cybersecurity

Speaker

Instructor: Lisa Marsden
Product ID: 704154

Location
  • Duration: 90 Min
This training program will equip attendees with basic everyday tools to keep cyber criminals at bay. The course will also emphasize the need for effective communication between team members of a financial firm.
RECORDED TRAINING
Last Recorded Date: Sep-2015

 

$229.00
1 Person Unlimited viewing for 6 month info Recorded Link and Ref. material will be available in My CO Section
(For multiple locations contact Customer Care)

$329.00
Downloadable file is for usage in one location only. info Downloadable link along with the materials will be emailed within 2 business days
(For multiple locations contact Customer Care)

 

 

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Fax: +1-650-362-2367

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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 every day. These threats challenge traditional models of law enforcement, IT management and regulations. The SEC’s Cyber Sweep Exam is not only another regulatory task for financial advisors but also serves as an outline to help your firm defend against the cyber criminals.

Education, awareness and communication will help defend against the criminal element and protect clients and firms. The ongoing impact to financial firms is of critical importance to all. This session will help educate attendees on their role in the defense process as well as review the regulatory landscape surrounding this topic.

Learning Objectives:

  • 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

Areas Covered in the Webinar:

  • 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
Instructor Profile:
Lisa Marsden

Lisa Marsden
President and Founder, Coulter Strategic Services

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. Prior to that, Ms. Marsden was in the C-Suite as a CTO, COO and CCO for Registered investment advisors in Florida. Ms. Marsden has a degree in computer programming from Keiser University, and holds the Investment Advisor Certified Compliance Professional Designation (IACCP®) and SHE IS ALSO A CFA, Investment foundations certificate holder. She also held positions in the Banking Trust industry for several years. Ms. Marsden is the 2017 president of the financial planners association of south florida.

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Registrants may cancel up to two working days prior to the course start date and will receive a letter of credit to be used towards a future course up to one year from date of issuance. ComplianceOnline would process/provide refund if the Live Webinar has been cancelled. The attendee could choose between the recorded version of the webinar or refund for any cancelled webinar. Refunds will not be given to participants who do not show up for the webinar. On-Demand Recordings can be requested in exchange. Webinar may be cancelled due to lack of enrolment or unavoidable factors. Registrants will be notified 24hours in advance if a cancellation occurs. Substitutions can happen any time. On-Demand Recording purchases will not be refunded as it is available for immediate streaming. However if you are not able to view the webinar or you have any concern about the content of the webinar please contact us at below email or by call mentioning your feedback for resolution of the matter. We respect feedback/opinions of our customers which enables us to improve our products and services. To contact us please email [email protected] call +1-888-717-2436 (Toll Free).

 

 

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