On September 22, 2015, this was the headline to an SEC press release:
SEC Charges Investment Adviser with Failing to Adopt Proper Cybersecurity Policies and Procedures
While the article was not about private capital firm, it easily could have been. The investment advisory firm was censured and fined. If your firm is a "deer-in-headlights" when it comes to cybersecurity, your firm is at risk for becoming the next SEC headline.
In this webinar, speakers from PEF Services, Venable LLP, TetherView and Riverside discuss what your firm can do to become an "eager beaver" to prepare for the tough questions on cybersecurity that the SEC and your investors will ask.
LEARNING OBJECTIVES:
- Apply the results from OCIE’s 2015 Cybersecurity Examination Initiative to augment your firm’s cybersecurity preparedness
- Prepare for OCIE Cybersecurity exams “that will involve more testing to assess implementation of firm procedures and controls.”
- Develop the types of policies, documents and reports that need to be created to manage effectively your cybersecurity program and to respond to an OCIE Exam
- Assess risk associated with using a vendor as part of your cybersecurity due diligence
- Establish an incident response program that effectively detects breaches, generates alerts, defines the scope of the incident and provides procedures for communicating the incident to appropriate parties
The goal is to help you take practical steps in becoming an "eager beaver" – and not some deer in headlights who makes headlines in SEC press releases.
Speaker:
Jamie Barnett, Rear Admiral USN (Ret.), Venable LLP Partner
For more information about this event, please visit the event webpage.