Cybersecurity Best Practices for Broker Dealers
www.onlinecompliancepanel.com | 510-857-5896 | customersupport@onlinecompliancepanel.com
Instructor Profile Karen Steighner is an accomplished Compliance Executive who has extensive knowledge of securities laws and broker dealer, adviser and fund regulations. Recognized for exceptional leadership in securities regulation consulting in an everchanging regulatory environment with proven success in designing customized compliance and supervisory programs for small and mid-sized broker dealers, investment advisers and funds.
www.onlinecompliancepanel.com | 510-857-5896 | customersupport@onlinecompliancepanel.com
Description
This webinar will discuss the top cybersecurity threats faced by broker-dealer firms today and provide guidance on best practices to protect themselves and their customers from the devastating effects of a cyber attack.
www.onlinecompliancepanel.com | 510-857-5896 | customersupport@onlinecompliancepanel.com
Why should Attend Cyber security is one of FINRA’s leading broker dealer exam priorities given the everincreasing frequency and sophistication of cyber attacks targeting financial institutions in the U.S. FINRA expects that broker-dealer firms will make cyber security a priority and that they will devote sufficient resources both to understanding the current and evolving cyber security threats and to implement steps necessary to mitigate the potential for these threats from occurring.
www.onlinecompliancepanel.com | 510-857-5896 | customersupport@onlinecompliancepanel.com
Objectives Un derstand regulato broker-d ry obliga e a ler relate tions of Co d t o the cyber se nduct a c n u r ity risk assessm dealer’s e n t c y o b f the b er securi Des rokerty risk ign and i mpleme Securitie nt Writte s P o n Inform l i c i e Dev s ( W ation I S P s) elop and monitor procedu cyber se r e s curity co Be p ntrol repared i n the even incident t of a cy bersecur ity
www.onlinecompliancepanel.com | 510-857-5896 | customersupport@onlinecompliancepanel.com
Who can Benefit
ďƒ˜ Cyber secured companies ďƒ˜ Compliance Officers
www.onlinecompliancepanel.com | 510-857-5896 | customersupport@onlinecompliancepanel.com
How this Webinar works Username and Password will be sent to you 24 hours prior to the webinar Presentation handouts in pdf format will be mailed to you Login to the session using the username and password provided to you Get answer to your queries through interactive Q&A sessions via chat
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www.onlinecompliancepanel.com | 510-857-5896 | customersupport@onlinecompliancepanel.com
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www.onlinecompliancepanel.com | 510-857-5896 | customersupport@onlinecompliancepanel.com