Financial Regulatory Compliance - Cybersecurity Policies

Why Should You Attend:

Are you fully versed in the current cybersecurity regulations mandated by the SEC? With cyber threats rapidly evolving and increasing in complexity, non-compliance with these rules could leave your advisory firm vulnerable to devastating cyber-attacks and substantial regulatory penalties.

The SEC is intensifying its focus on cybersecurity, and firms that don't keep pace with the changing rules could face severe consequences. In the past year alone, numerous firms have been subjected to cybersecurity failings. Is your firm equipped to protect itself from these threats and stay within the boundaries of compliance?

This focused, 90-minute webinar serves as a crucial line of defense, empowering CCOs and IT professionals with the knowledge to understand and implement the latest cybersecurity regulations and regulatory expectations effectively. Don't leave your firm exposed to cyber threats and regulatory backlash; ensure you're prepared to tackle the cybersecurity challenge head-on.

Areas Covered in the Webinar:

• Overview of Current SEC Cybersecurity Regulations:
  • A summary of the existing cybersecurity rules imposed by the SEC, explaining the context and intention behind these regulations.
• Impact of Recent Proposed changes:
  • Discussion of any recent or upcoming changes in SEC regulations on cybersecurity and the implications for investment advisory firms.
• Compliance Checklist:
  • Provision of a comprehensive checklist that details the requirements for cybersecurity compliance under SEC regulations.
• Role of CCOs and IT Professionals:
  • Clarification of the specific responsibilities of CCOs and IT professionals in maintaining cybersecurity compliance, and how they can effectively fulfill these roles.
• Cybersecurity Risk Assessment:
  • Guidance on conducting a thorough cybersecurity risk assessment, identifying potential vulnerabilities, and understanding the consequences of a breach.
• Best Practices for Compliance:
  • A rundown of best practices effective in ensuring cybersecurity compliance, specifically tailored for investment advisory firms.
• Responding to Breaches and Non-Compliance:
  • Insight into the necessary steps to take in the event of a cyber-attack or compliance breach, including reporting obligations and strategies for minimizing damage.
• Educating the Ownership/Leaderships:
  • Recommendations for keeping the firm's ownership/Leadership informed about cybersecurity regulations, the firm's current compliance status, and the potential risks of non-compliance.

Who Will Benefit:

• Chief Compliance Officers
• Compliance Managers
• IT providers to Investment Advisory Firms
• IT Manager
• IT Director
• Operations Manager
• Legal Counsel
• Data Protection Officers
• CEOs
• COOs
• Board Members
• Financial Advisors
• Portfolio Managers
• Compliance Consultants
• Compliance Professionals
• Chief Information Officers

Lisa M Marsden
President and Founder, Coulter Strategic Services, LLC

Lisa M. Marsden, IACCP ®, is the President and Founder of Coulter Strategic Services, LLC. Coulter Strategic Services, LLC provides Financial professionals and compliance consulting firms with compliance and project management services and customized compliance training.

Coulter Strategic Services, LLC also provides financial regulatory compliance education to advisory firms, industry conferences, webinars and at the collegiate level for those seeking financial degrees.

Prior to starting Coulter Strategic Services, LLC, Lisa was a partner and member of the C-Suite at Financial Advisory Firms in Florida. She holds a degree in computer programming from Keiser University and the Investment Advisor Certified Compliance Professional Designation and is a CFA Investment Foundations Certificate Holder.

Lisa proudly served as the 2017 President of the Financial Planners Association of South Florida and was a Board member for several years. Lisa is currently a member of the FPA of South Florida, CFA Society of South Florida, Florida Securities Dealer Association and the National Society of Compliance Professionals.

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