April 28, 2022
SESSON 1: New Developments in Cybersecurity
This session will discuss new developments, regulatory guidance, and enforcement of cybersecurity from both the SEC and the NFA. Current trends, new threats, practical guidance, and protocols for training staff will be discussed. The panelists will highlight what needs to be done now to ensure that your firm and its data are protected.
SESSION 2: Managing Through a Crisis: The Resilient Compliance Department
Compliance is an essential aspect of a holistic enterprise risk management program and at times may be thrust into time-pressured discussions with senior management or corporate Boards. There is no playbook for addressing unprecedented event. This session will examine the factors compliance professionals must consider when identifying potential issues and escalating issues up the chain. Panelists will share lessons they have learned from various crisis events and offer practical courses of action.
NSCP will provide a Continuing Education (“CE”) Certificate of Attendance for those attendees who participate in live virtual seminars and correctly answer the post-session CE quiz questions in the required response time. CPE credits cannot be awarded for any of NSCP’s virtual seminars.