SEC, FINRA, and CFTC Zero in on Cybersecurity — How You Can Prepare

With threats coming from a variety of increasingly sophisticated attackers, cybersecurity is — and will remain — a key area of focus for regulators. On September 15, the SEC’s Office of Compliance Inspections and Examinations* (OCIE) issued new guidance outlining areas of cybersecurity risk to be addressed by registered broker-dealers and investment advisors in their systems and procedures.

This web conference will include topics such as:

• Cybersecurity risk alert — summary of key issues 


• Impact on broker-dealers and investment advisors 


• How the SEC will examine firms for compliance, and the key controls and procedures the OCIE is looking for 


• R.T. Jones Capital Equities Management, Inc. case 


• NFA’s new Interpretative Notice Regarding Information Systems Security Program — Cybersecurity, and what it might mean to you 


• Steps you can take to safeguard your firm’s data 


• Why having an air-tight compliance strategy is crucial

There is no cost to participate in this web conference, but advance registration is required. For more information, please contact Brook Radford at [email protected].

* Foley & Lardner LLP will apply for CLE credit after the program, wherever applicable. Foley & Lardner LLP certifies that this activity has been approved for California MCLE credits by the State Bar of California. Foley & Lardner LLP is a State Bar of California MCLE approved provider. New York licensed attorneys admitted two years or less are not eligible to earn CLE credit through nontraditional formats. This program is appropriate for experienced New York attorneys only. Certificates of attendance will be distributed to eligible participants approximately 8 weeks after the web conference via email.