Penetration Testing & Vulnerability Assessments – Examining the SEC & FINRA Requirements
When: Wednesday, January 25th | Schedule: 12pm – 1pm EST
- Paul Caiazzo, CEO and Co-Founder, TruShield Security Solutions
- Michael Brice, Founder, BW Cyber Services
- John Lukan, Managing Director, SEC Compliance Consultants, Inc.
On January 12th, 2017, the SEC published its 2017 examination priorities. Once again, cybersecurity was listed as an exam priority with a renewed focus on “compliance procedures and controls, including testing the implementation of those procedures and controls at broker-dealers and investment advisers.”
While advancements in technology have greatly improved the speed, efficiency, and capability of investment adviser and broker-dealer systems and workflows, these developments have also significantly increased operational and reputational risk. An isolated system intrusion can have dramatic consequences for a SEC or FINRA registrant including financial loss, ongoing liability to clients and investors as well as potential regulatory enforcement action. In today’s environment, if a “hacked” SEC or FINRA registrant has any hope of avoiding a regulatory enforcement action, it is imperative they can demonstrate that they have adequate policies and procedures to identify and test potential cybersecurity vulnerabilities and weaknesses. Such policies must also address the experience, security vetting process and the location of any external party performing such tests.
Attend this webcast to find out what you should be doing to remain compliant and ensure the integrity, resiliency, and capacity of your infrastructure.
We will wrap up the presentation with an interactive Q&A session.
Can’t attend the live event? You should still register! We will send the recording of the webcast after the event.