Training Doyens

Interesting cyber-security facts

OVERVIEW On a number of occasions I have been brought in to lead projects addressing recently discovered compliance failures .  We will discuss a number of these as real case studies.  It is more common than you might think because no one is going to present in a seminar or industry meeting how they got in trouble, how they worked their way out, and how they dealt with the relevant regulators.  So there is very little learning from mistakes within the industry.  This is a chance to share some of this learning. Compliance Failure WHY SHOULD YOU ATTEND There is increasing discussion that, rather than punish stockholders, individual officers should be personally held accountable for their decisions causing failures to act in compliance.   Already the Sarbanes-Oxley law specifically requires that companies, including banks, have accurate financial reports as well as sound controls as required to assure the material accuracy of those reports....

OVERVIEW 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 enforcement 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. Interests in Financial Services WHY SHOULD YOU ATTEND ...