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Speaking Engagements

Both SEC3 and CCO3 are active in the Financial Community and participates in several Industry Events, Roundtables & Conferences as well as hosts educational webinars.

May 17, 2017 (NYC WIMF)

This event is by invitation only. Please email This e-mail address is being protected from spambots. You need JavaScript enabled to view it to learn more.

 

May 23, 2017 - Webcast: WannaCry Ransomware: Were You Really Protected or Just Lucky

When: Tuesday, May 23rd, 2017 | Schedule: 12pm - 1pm EST

Who:

  • Paul Caiazzo, CEO and Co-Founder, TruShield Security Solutions
  • Michael Brice, Founder, BW Cyber Services
  • John Lukan, Managing Director, SEC Compliance Consultants, Inc.

We said in our last webcast on this same topic, that the Ransomware threat is becoming the tool of choice to an ever-increasing number of bad actors and that we will hear much more about this ongoing threat from regulators this year. The insidious nature of Ransomware and its delivery alternatives, allows a broad range of "wanna-be" criminals, looking for a quick payday, to get in the game. From high-school students using simple kiddie-scripts, inexpensively purchased off the web to organized crime rings using sophisticated schemes to steal valuable data that is sold on the dark web, the threat is pervasive.

Join us on this webcast where participants will learn how to defend against Ransomware and leave with a better understanding of the many variations of ransomware and just how easy it is for these criminals to cryptolock computer systems.

Both Michael Brice and Paul Caiazzo have firsthand experience protecting some of our nation's most sensitive data from cyber threats. In their current roles, they help clients in several highly regulated industries protect their sensitive data. John Lukan helps firms implement manageable controls, policies and procedures, and address regulatory expectations.

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.

Register now!

 

May 31, 2017 - Chicago

  • 9:00-9:30 a.m - Networking and Continental Breakfast
  • 9:30-11:00 a.m - Program

Location: Baker & McKenzie LLP | 300 East Randolph Drive | Suite 5000 | Chicago, IL 60601

Kristin Gonzalez and Jerome Tomas from Baker McKenzie, Graig Vicidomino from Crystal &Company, and Janaya Moscony from SEC3 will discuss topics of interest to chief compliance officers.

Topics include:

  • SEC regulatory, exam and enforcement updates
  • Liability issues relevant to CCOs and advisers
  • Considerations when reviewing your E&O/D&O coverage

Click here to register

baker mckenziecrystalsec3 logo

 

June 13, 2017 - Compliance Breakfast Briefing

  • 8:30-9:00am - Networking and Continental Breakfast
  • 9:00-10:30am - Program

Location: Haynes and Boone, LLP | 2323 Victory Avenue | Suite 700 | Dallas, TX 75219
Validated parking is available in the garage attached to the building.

Map and Directions
Victory Dart Station

Kit Addleman and Ernest Martin from Haynes and Boone, Graig Vicidomino from Crystal & Company, and John Lukan from SEC3 will discuss topics of interest to chief compliance officers.

Topics include:

  • SEC regulatory, exam and enforcement updates
  • Liability issues relevant to CCOs and advisers
  • Considerations when reviewing your E&O/D&O coverage

Click here to register

haynes boonecrystalsec3 logo

 

June 14, 2017 - Compliance Breakfast Briefing

  • 8:30-9:00am - Networking and Continental Breakfast
  • 9:00-10:30am - Program

Location: Willkie Farr & Gallagher LLP | 600 Travis Street | Suite 2310 | Houston, TX

Barry Barbash from Willkie Farr & Gallagher LLP, Graig Vicidomino from Crystal & Company , and John Lukan from SEC Compliance Consultants, Inc. will discuss topics of interest to chief compliance officers.

Topics include:

  • SEC regulatory, exam and enforcement updates
  • Liability issues relevant to CCOs and advisers
  • Considerations when reviewing your E&O/D&O coverage

Click here to register

willkie logocrystal logosec3 logo

 

Webcast: The Most Insidious Cybersecurity Threat Is Also The Least Understood

When: Tuesday, April 25th | Schedule: 12pm - 1pm EST

Who:

  • Paul Caiazzo, CEO and Co-Founder, TruShield Security Solutions
  • Michael Brice, Founder, BW Cyber Services
  • John Lukan, Managing Director, SEC Compliance Consultants, Inc.

Ransomware, the least understood cybersecurity threat to market participants, affects an estimated 1 in 4 annually. It can be compared to the ever-morphing “superbugs” that the CDC and the WHO fear will become the World’s next pandemic. Just as these superbugs are able to mutate into more aggressive threats to the world’s health, the ransomware threat is mutating at a parabolic rate as it becomes the tool of choice to an ever-increasing number of bad actors. These bad actors range from high-school students using simple kiddie scripts purchased off the web to organized crime rings using sophisticated schemes to steal valuable data that is sold on the dark web.

Read more: Webcast: The Most Insidious Cybersecurity Threat Is Also The Least Understood

 

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Newsletter

Get the latest compliance news and insights - delivered weekly. The SEC3 Communique covers all compliance topics. CCO3 focuses on CCO topics.
tip: check both to keep informed!

Communiques

79 Advisers Self Report and $125 Million Returned to Investors

In line with the OCIE’s National Exam Priorities targeting its examination efforts to prevent harm to retail investors the SEC announced March 11, 2019, that it would be returning $125... read more »

CFTC Releases Exam Priorities

In a first time release, stemming from agency initiatives to improve its relationship with regulated entities, the Commodity Futures Trading Commission (CFTC) recently announced its 2019 Examination Priorities for registrants... read more »

FINRA’S Box of Chocolates

While we know you prefer a box of chocolates today instead of this industry update on compliance, this one is a gift and hence, will not add to your ever-growing... read more »

A Motivated Agency: The SEC Closing the Loop on the Edgar System Cyber Breach

You may recall after Clayton took the helm as Chairman at the SEC, the agency disclosed that it had its own cyber breach and the Edgar system was compromised. Today,... read more »

Examiners Take Reprieve with Gov’t Shut Down, But CCOs Must Carry On

These government shut downs don’t usually go on indefinitely. Before we blink an eye, examiners will be back on the beat. CCOs must stay vigilant. On December 20th the SEC’s Office... read more »

Pre-Dating & Back-Dating are Equally Risky

The SEC today suspended three accountants formerly of BDO USA LLP for improper professional conduct during its 2013 audit of AmTrust Financial Services Inc., an exchange-listed insurance company. According to the... read more »

Events

Chief Compliance Officer Roundtable: Breakfast Briefing - November 8, 2018

When: November 8, 2018 Where: Blank Rome LLP | The Chrysler Building | 405 Lexington Avenue | New York, NY 10174 | 22nd Floor Boardroom | Phone: 212.885.5000 Schedule: 9:00-9:30am - Networking...

Dorsey PF 2018 Symposium

When: September 26, 2018 (8:30 am - 6 pm Where: Dorsey & Whitney LLP | 51 W. 52nd Street | New York, NY 10019 Directions > SEC3’s President, Janaya Moscony will join...

Chief Compliance Officer Roundtable: Breakfast Briefing - June 14, 2018

When: June 14, 2018 Where: Blank Rome LLP | The Chrysler Building | 405 Lexington Avenue | New York, NY 10174 | 22nd Floor Boardroom | Phone: 212.885.5000 Schedule: 9:00-9:30am - Networking...

Webinar: 2018 SEC Exam Priorities & Recent Exam Highlights

Don’t miss the opportunity to meet with us in person to discuss the topics that matter most to you. Tobin S. Cochran, Managing Member/President of Focus 1 Associates, LLC and...

Chief Compliance Officer Roundtable: Breakfast Briefing - February 7, 2018

When: February 7, 2018 Where: Blank Rome LLP | The Chrysler Building | 405 Lexington Avenue | New York, NY 10174 | 22nd Floor Boardroom | Phone: 212.885.5000 Schedule: 9:00-9:30am - Networking...

Upcoming Events - September & October 2017

Upcoming Events Don’t miss the opportunity to meet with us in person to discuss the topics that matter most to you. SEC3 is teaming up with industry experts in NYC to discuss...

May 23, 2017 - Webcast: WannaCry Ransomware: Were You Really Protected or Just L…

When: Tuesday, May 23rd, 2017 | Schedule: 12pm - 1pm EST Who: Paul Caiazzo, CEO and Co-Founder, TruShield Security Solutions Michael Brice, Founder, BW Cyber Services John Lukan, Managing Director, SEC Compliance Consultants, Inc. We...

June 14, 2017 - Compliance Breakfast Briefing

8:30-9:00am - Networking and Continental Breakfast 9:00-10:30am - Program Location: Willkie Farr & Gallagher LLP | 600 Travis Street | Suite 2310 | Houston, TX Barry Barbash from Willkie Farr & Gallagher LLP,...

June 13, 2017 - Compliance Breakfast Briefing

8:30-9:00am - Networking and Continental Breakfast 9:00-10:30am - Program Location: Haynes and Boone, LLP | 2323 Victory Avenue | Suite 700 | Dallas, TX 75219 Validated parking is available in the garage attached...

May 31, 2017 - Chicago

9:00-9:30 a.m - Networking and Continental Breakfast 9:30-11:00 a.m - Program Location: Baker & McKenzie LLP | 300 East Randolph Drive | Suite 5000 | Chicago, IL 60601 Kristin Gonzalez and Jerome Tomas...

May 17, 2017 (NYC WIMF)

This event is by invitation only. Please email info@seccc.com to learn more.

May 15, 2017 (NYC Chief Compliance Officer Roundtable)

9:00-9:30am - Networking and Continental Breakfast 9:30-11:00am - Program Location: Blank Rome LLP | The Chrysler Building | 405 Lexington Avenue | New York, NY 10174 | 22nd Floor Boardroom | Phone:...

Webcast: The Most Insidious Cybersecurity Threat Is Also The Least Understood

When: Tuesday, April 25th | Schedule: 12pm - 1pm EST Who: Paul Caiazzo, CEO and Co-Founder, TruShield Security Solutions Michael Brice, Founder, BW Cyber Services John Lukan, Managing Director, SEC Compliance Consultants, Inc. Ransomware, the...

CCO Liability (Part III): Managing Liability Webinar

In this webinar, panelists discuss indemnifications and insurance as potential remedies to address the direct financial risks to a CCO. Attendees will learn: What terms and conditions should Chief Compliance Officers be...

Webinar: CCO Liability (Part III): Managing Liability: Navigating Indemnities an…

When: Tuesday, February 21, 2017 Schedule: 11:00am ET / 10:00am CT / 9:00am MT / 8:00am PT / 7:00am AT Description of Webinar: The National Society of Compliance Professionals is pleased to host...