Training Doyens

OVERVIEW No Cyber Security Plan is complete without a Third Party VendorReview and Risk Assessment .  This Session will help financial firms start the process as well as maintain an existing process. On September 15, 2015, the Office of Compliance Inspections and Examinations (OCIE) issued the 2015 Cyber security Examination Initiatives. One of those initiatives relates to how financial firms are conducting due diligence reviews of their Vendors. Many firms are not prepared to conduct this type of due diligence on the firms they partner with. Many of the third party vendors, such as the firm’s CPAs, program providers, and outsourced IT firms may not even realize they are subject to this type of scrutiny from their clients or even understand how to answer their questions. With cyber security and privacy Issues being an on-going area of concern for all areas of finance, the third party vendor and risk assessment will be a focus of regulatory exams as well as a significant busi...

OVERVIEW No Cyber Security Plan is complete without a Third Party VendorReview and Risk Assessment.   This Session will help financial firms start the process as well as maintain an existing process. On September 15, 2015, the Office of Compliance Inspections and Examinations (OCIE) issued the 2015 Cyber security Examination Initiatives. One of those initiatives relates to how financial firms are conducting due diligence reviews of their Vendors. Many firms are not prepared to conduct this type of due diligence on the firms they partner with. Many of the third party vendors, such as the firm’s CPAs, program providers, and outsourced IT firms may not even realize they are subject to this type of scrutiny from their clients or even understand how to answer their questions. With cyber security and privacy Issues being an on-going area of concern for all areas of finance, the third party vendor and risk assessment will be a focus of regulatory exams as well as a significant busi...

OVERVIEW When there is a need to make some change to an environment and/or resolve a problem, we must think about a project that could implement the necessary change and address the problem. But we can’t just run our project without proper justification. Justifying the project is a great mechanism to confirm that our project really addresses the need and paves the way for improvement. It helps us assure interested parties or stakeholders that the project implements a particular solution to the problem and explains why this solution is best, as compared to other alternative solutions. But how do we do a project justification? In this webinar, you will learn about analyses which are regarded as compliant and convenient ways to justify and confirm projects such as Change Controls, Risk Assessments,Validations, and Investigations. WHY SHOULD YOU ATTEND As regulations change and become more stringent, one aspect of compliance has not changed, and that is ensuring changes, deviatio...

OVERVIEW No Cyber Security Plan is complete without a Third Party VendorReview and Risk Assessment.   This Session will help financial firms start the process as well as maintain an existing process. On September 15, 2015, the Office of Compliance Inspections and Examinations (OCIE) issued the 2015 Cyber security Examination Initiatives. One of those initiatives relates to how financial firms are conducting due diligence reviews of their Vendors. Many firms are not prepared to conduct this type of due diligence on the firms they partner with. Many of the third party vendors, such as the firm’s CPAs, program providers, and outsourced IT firms may not even realize they are subject to this type of scrutiny from their clients or even understand how to answer their questions. With cyber security and privacy Issues being an on-going area of concern for all areas of finance, the third party vendor and risk assessment will be a focus of regulatory exams as well as a significant busin...