Event Description

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.

Learning Objectives:

  • Hear an overview of NFA’s Information System Security Program (ISSP) Interpretive Notice
  • Learn how to prepare for the SEC’s latest cybersecurity focused exams
  • Review takeaways from the SEC sweep exam and other recent guidance as well as NFA cyber exam observations and takeaways from cyber-related examinations
  • Understand the issues of email takeovers and the challenges of cyber incident management; discuss innovative ideas for cybersecurity training
  • Review SEC and NFA Examination Priorities as well as common threats identified by the NFA and the SEC, particularly those focused on defending against ransomware and BYOD policies


 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.

Learning Objectives:

  • Identify potential red flags to spot issues before a crisis arises
  • Establish an escalation plan and know when to initiate the Business Continuity Management plan
  • Understand when to advise your regulator of an extraordinary event and the scope of such notification
  • Develop a checklist of action steps to provide a framework during fast-moving events


Continuing Education Credits

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.

Status Price for 2 sessions
NSCP Members $100
Non-Members $200
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