The Knowledge Group
The Knowledge Group

The Knowledge Group Has Scheduled a Live Webcast on the SEC and Cyber Security: What Broker Dealers and Investment Advisers Must Know in 2016

New York, NY, January 10, 2016 --( The Knowledge Group/The Knowledge Congress Live Webcast Series, the leading producer of regulatory focused webcasts, announced today that it has scheduled a live webcast entitled: The SEC and Cyber Security: What Broker Dealers and Investment Advisers Must Know in 2016. This two-hour event is scheduled on January 14, 2016 at 12:00 PM - 2:00 PM ET.

Event Synopsis:
Cyber attacks are happening with more frequency and are affecting prominent businesses with substantial cybersecurity infrastructure, including some of our nation’s largest financial institutions.

Over the past two years, cybersecurity has emerged as a key area of focus for the SEC and FINRA. The Securities and Exchange Commission (SEC) has formal jurisdiction over cybersecurity issues in the market, regarding customer data protection, and in disclosure of material information. Regulation S-P requires broker-dealers and investment advisers to, among other things, adopt policies and procedures to provide safeguards for the protection of customer records and information. In 2013, the SEC adopted Regulation S-ID, requiring some regulated financial institutions and creditors to have identity theft programs and, in 2015 may require public companies to disclose information on data breaches and other cybersecurity threats. Legislation recently passed by Congress would provide for the voluntary sharing in real time of “cyber threat indicators” among private organizations and the federal government.

In light of this, broker dealers and investment advisors must be aware of the increasing trends towards greater regulation of the market with respect to cybersecurity, increased demand for data and information regarding cybersecurity program compliance and any threats, and programs for protection from identity thefts and other crimes.

In a two-hour live webcast, a panel of thought leaders and professionals assembled by The Knowledge Group will review and discuss the SEC and cybersecurity and what broker dealers and investment advisers must know in 2015. Speakers also will suggest how brokers, dealers, and investment advisers, legal counsel, and others can ensure compliance with SEC regulations and avoid the most common risk and pitfalls relating to cybersecurity examinations.
Key topics include:

The SEC's Cybersecurity Examinations
SEC and FINRA Cybersecurity Enforcement Actions
Consequences for Broker-Dealers and Investment Advisers
Board Oversight of Cybersecurity Compliance
Compliance Risks and Pitfalls
Cybersecurity Information Sharing Act

Speakers/Faculty Panel

Willkie Farr & Gallagher LLP
Christopher S. Petito
Of Counsel

Willkie Farr & Gallagher LLP
James R. Burns

Bryant Rabbino LLP
Denver Edwards

For an updated list of the faculty panel, please visit:

About The Knowledge Group, LLC/The Knowledge Congress Live Webcast Series
The Knowledge Group, LLC brings together the world's leading authorities and industry participants through informative two-hour webcasts that study the impact of changing regulations and help businesses succeed through proper regulatory compliance.

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The Knowledge Congress
Thomas LaPointe, Jr., Executive Director
Therese Lumbao, Director
Account Management & Member Services