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ON DEMAND: SEC's Proposed Cybersecurity Risk Management Rules for Market Entities
Cybersecurity and the management of cybersecurity risks are major current concerns for financial service providers. In 2023, the SEC proposed rules to require broker-dealers and several other types of market entities to address cybersecurity risks through policies and procedures and provide incident notification, reporting and public disclosures. In this program, participants will hear directly from senior staff of the SEC's Division of Trading and Markets on the SEC's proposed cybersecurity risk management rules. Senior staff from the SEC’s Division of Examinations and from the Financial Industry Regulatory Authority (FINRA) will also discuss findings from, and challenges encountered in, supervising and examining registrants’ operations and cyber risk management.
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Are you a current law student and looking to register for one of our programs? Learn about the D.C. Bar Law Student Community and attend most individual programs at a discounted rate. Find out more here. Sponsored by:Broker-Dealer Regulation Committee of the D.C. Bar Corporation, Finance and Securities Law Community Related Community of Interest: D.C. Bar Early Career Lawyers; D.C. Bar Law Student Community; D.C. Bar Litigation Community
Speakers:
Keith Cassidy, Deputy Director, Division of Examinations, U.S. Securities and Exchange Commission
Ken Le Breux, Managing Director, Head of IT, ABN AMRO Clearing
Neel Maitra, Partner, Wilson Sonsini Goodrich & Rosati
Randall Roy, Deputy Associate Director, Office of Broker-Dealer Finances, Division of Trading and Markets, U.S. Securities and Exchange Commission
Bryan Smith, Senior Vice President, Head of Complex Investigations and Intelligence, FINRA
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Non-Member
$40.00
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$30.00
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$0.00
D.C. Bar Regular Community Member
$15.00
Law Student Community
$15.00
Government and Nonprofit Attorneys
Standard
Non-Member
$15.00
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