ON DEMAND: Cybersecurity and Privacy Threats Continue: What Next for Regulators and Investors
Credit: 0 Credit Hours
The SEC and FINRA have taken a cooperative approach with industry stakeholders to focus on the protection of information, whether consumer financial information or other sensitive information. Compliance with Regulation S-P, the primary SEC rule regarding privacy notices and safeguard policies of investment advisers and broker-dealers, continues to result in OCIE deficiencies, while broader cybersecurity threats loom, well beyond the protection of consumer financial information. Prior to the COVID-19 pandemic, the SEC's Office of Compliance and Inspections had published in January 2020 an extensive report, supplementing risk alerts of past years. FINRA has also published several reports on risks to its broker-dealer members.
Join private law firm practitioners and regulators for a discussion on what to expect in these two intertwined areas, both of which have regulatory and enforcement risk for firms, and where investors' information is also at stake, all in the context of looking back at 2020 and what's ahead for 2021.
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Sponsored by: Investor Rights Committee of the D.C. Bar Corporation, Finance and Securities Law Community
Program Partner: Investment Adviser and Broker-Dealer Regulation Committee of the D.C. Bar Corporation, Finance and Securities Law Community
Related Community of Interest: D.C. Bar Law Student CommunitySpeakers:
- Stephen L. Cohen, Partner, Sidley Austin
- David M. Kelley, Head of Cybersecurity Specialists, FINRA
- Kristina Littman, Chief, Cyber Unit, SEC Division of Enforcement
- John Polise, Associate Director, Broker-Dealer and Exchange (BDX) Group, SEC Office of Compliance Inspection and Examinations
- A. Valerie Mirko, Partner, Financial Regulation and Enforcement Practice, Baker McKenzie (Moderator)
|Corporation, Finance & Securities Law||$20.00|
|D.C. Bar Member||$40.00|
|D.C. Bar Premium Community Member||$0.00|
|Law Student Community||$15.00|
|Non Profit Attorney||Standard|