Navigating the Financial Regulations of Cybersecurity

Duration: 60 Minutes
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.
Financial Regulations of Cybersecurity
Instructor: Lisa M. Marsden
Product ID: 502831
The regulators are constantly issuing alerts, and enforcements 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.

Objectives of the Presentation
  • 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
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 daily. These threats challenge traditional models of law enforcement, IT Management and Regulations. Education, awareness and communication will help defend against the criminal element and protect our clients and our firms. The ongoing impact to financial firms is of critical importance to all. We hope this session will help educate you on your role in the defense process as well as review the regulatory landscape surrounding this topic.

Areas Covered
  • 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
$300
Recorded Session for one participant
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How it works
Live Session - How it works
  • Login to onlinecompliancepanel with your registered username and password https://www.onlinecompliancepanel.com/login
  • The webinar joining link, username and password for joining the webinar will be updated on your OCP Account 24 hours prior to the webinar
  • Presentation handouts in Downloadable PDF format will be updated on your OCP Account 24 hours prior to the live session
  • Login to the audio conference on the scheduled date and time
  • Get answers to your queries through interactive Q&A sessions via chat at the end of the session
  • Download the Certificate of Attendance and Purchase Invoice from your OCP Account 24 hours after the completion of the session
  • Please let us know your thoughts and views at the end of the webinar, your valuable feedback will help us improve
Recorded Session - How it works
  • Login to onlinecompliancepanel with your registered username and password https://www.onlinecompliancepanel.com/login
  • Upon purchase of the recorded session a link will be updated on your OCP Account within 24 hours
  • Please click on the link to access the Recorded Session
  • Presentation handouts in downloadable PDF format will be updated on your OCP Account within 24 hours of the purchase of the product
  • Download the Certificate of Attendance and Purchase Invoice from your OCP Account after 48 hours of the product Purchase
  • Please share your valuable Feedback at the end of the session
Instructor Profile:
Lisa M. Marsden, IACCP, is the president and founder of Coulter Strategic Services. Coulter Strategic Services provides financial advisors and consulting firms with compliance and project management services. Prior to that, Ms. Marsden was the chief operating officer/chief compliance officer of Financial Trust Asset Management, Boca Raton, Florida. She has been in the financial services industry for over 25 years. Ms. Marsden has a broad array of talent, knowledge and an entrepreneurial approach in the area of regulatory compliance and business operations.

Ms. Marsden has a degree in computer programming from Keiser University, and holds the Investment Advisor Certified Compliance Professional Designation and Claritas ® Investment Certificate. She was the chief compliance officer/chief technology officer at Steinberg Global Asset Management, Boca Raton Florida and also held positions in the banking trust industry at Midlantic National Bank and Trust, Comerica Bank & Trust and Barnett Bank Asset Management.

Ms. Marsden leads two extremely intelligent groups of local compliance and IT professionals with the goal to help educate themselves, their firms and each other in the area of cyber security and compliance regulation as it pertains to the financial area. She serves on the executive committee of the Financial Planners Association of Greater Fort Lauderdale, and has moderated a cyber-security panel consisting of a Certified Ethical Hacker and Securities and Exchange Commission Examiner for the FPA of Greater Fort Lauderdale's annual conference, conducted training sessions on the financial regulations regarding cyber security.
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