InstructorBrad Gallo
TypeOnline Course
PriceFree
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Tuition Options

myUniversity™

PracticeEdge Elite™

Standard Tuition $400 US

Senior Fellow Christopher Hetner, Cybersecurity Lead, Technology Controls Program, OCIE, SEC


As financial services firms are being increasingly targeted by cyber-attacks, the ability to prevent, detect, respond and recover from cyber-attacks has become an important and growing concern to the wealth and asset management industry. The SEC recently announced that cyber security will be a focus area in its 2014 review of asset managers and beyond.

This Course will discuss the changing cyber security landscape, the security challenges faced by organizations and how cyber security is driving increased regulations. The Course will also address some of the focus areas for wealth and asset managers that will help improve their security posture and create a framework that will address the risks from such attacks. Finally, the Course will explore the focus areas of the SEC and how you can prepare for an examination; Discussing some leading implementation practices that firms have adopted, including the National Institute of Standards and Technology Framework.

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LEARNING OBJECTIVES

FACULTY

CREDIT INFO

ACCREDITATION

Students shall learn the following within this Course:

  • Understand SEC Regulatory cybersecurity expectations
  • Recognize the emerging cyber risks to asset management firms
  • Define security challenges and who is ultimately responsible for cybersecurity in an organization
  • Building capability to strengthen cyber security resilience
  • Outline the focus areas for wealth and asset managers in protecting against cyber threats
  • Apply leading practices in their fight against cyber criminals

 

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Senior Fellow:

  • Christopher Hetner, Cybersecurity Lead, Technology  Controls Program, OCIE, SEC 

Guest Lecturers:

  • Ed Schmidt, Sr Tech Officer, Tech Controls Program & Office of Tech Services, OCIE, SEC
  • Tim O’Brien, Supervisory Special Agent, FBI
  • Steven Felsenthal, JD, LLM, GC, CCO, & Principal, Millburn Ridgefield
  • Brendan Kalb, JD, General Counsel, AQR Capital
  • Darren Wray, CEO, Fifth Step
  • Moshe Luchins, JD, Chief Compliance Officer and Deputy General Counsel, Zweig-DiMenna Associates

 

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Accreditation Information

CLE Information

Credit Hours: 4
Subject Area: Professional Practice
States: Contact Curriculum Advisor For More Information

CPE Information

Credit Hours: 6
Subject Area: Accounting
States: Contact Curriculum Advisor For More Information

 

Course ID Number:  8280

 

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Alabama: Approval of all web based programs is limited to a maximum of 6.0 credits.

Arizona: Does not approve or accredit CLE activities for the Mandatory Continuing Legal Education requirement. RCA programs may qualify for credit based on the requirements outlined in the MCLE Regulations and Ariz. R. Sup. Ct. Rule 45.

Iowa: The approval is for one year from recorded date. Does not approve of Audio-only On-Demand Webcasts.

Missouri: On-demand web programs are restricted to six hours of self-study credit per year. Self-study may not be used to satisfy the ethics requirements. Self-study can not be used for carryover credit.

New Hamphsire: The approval is for three years from recorded date.

New Mexico: On-Demand web programs are restricted to 4.0 self-study credits per year.

New York: Newly admitted attorneys may not take non-traditional course formats such as on-demand Web Programs or live Webcasts for CLE credit. Newly admitted attorneys not practicing law in the United States, however, may earn 12 transitional credits in non-traditional formats.

North Carolina: A maximum of 4 credits per reporting period may be earned by participating in on-demand web programs.

Ohio: To confirm that the web program has been approved, please refer to the list of Ohio’s Approved Self Study Activities at http://www.sconet.state.oh.us. Online programs are considered self-study. Ohio attorneys have a 6 credit self-study limit per compliance period. The Ohio CLE Board states that attorneys must have a 100% success rate in clicking on timestamps to receive ANY CLE credit for an online program.

Oklahoma: Up to 6 credits may be earned each year through computer-based or technology-based legal education programs.

Pennsylvania: PA attorneys may only receive a maximum of four (4) hours of distance learning credit per compliance period. All distance learning programs must be a minimum of 1 full hour.

Rhode Island: Audio Only On-Demand Web Programs are not approved for credit. On-Demand Web Programs must have an audio and video component.

Tennessee: The approval is for the calendar year in which the live program was presented.

Virginia: All distance learning courses are to be done in an educational setting, free from distractions.

Wisconsin: Ethics credit is not allowed. The ethics portion of the program will be approved for general credit. There is a 10 credit limit for on-demand web programs during every 2-year reporting period. Does not approve of Audio-only On-Demand Webcasts.

Iowa, Mississippi, Oklahoma, and Wisconsin DO NOT approve Audio Only On-Demand Web Programs.

If you have already received credit for attending some or the entire program, please be aware that state administrators do not permit you to accrue additional credit for repeat viewing even if an additional credit certificate is subsequently issued.

If applicable, the RCA will apply for credit in your state upon request.