Standard Tuition $400 US
Senior Fellow Beth Kramer, JD, Partner, Chadbourne & Parke LLP
Regulatory scrutiny continues to escalate on cybersecurity for alternative investment and asset management firms – the latest target Business Continuity and Transition Planning.
Currently, firms silo cybersecurity, business continuity and transition planning. Such thinking leaves gaps. Firms must consider the larger, integrated picture and implement a comprehensive and cohesive plan.
Regulatory agency expectations for cybersecurity and business continuity include the following:
• Proposed rule requiring investment advisers to adopt business continuity and transition Plans
• OCIE cybersecurity sweep examinations, targeting more than 50 investment advisers, fund managers and broker-dealers
• OCIE Cybersecurity Examination Sweep Summary
• Recruiting of top-level information security executives and experienced alternative investment operations executives
• Cybersecurity Risk Alerts issues to firms and investors
• Investment Management’s Cybersecurity Guidance Update
In response, many alternative investment and asset management firms have tasked CCOs to address another evolving set of regulatory expectations.
This Course will equip compliance, legal and operations executives to develop a practical, effective, cost-efficient and integrated Cybersecurity, Business Continuity and Transition plan tailored to their firm.
Students shall learn the following within this Course:
During the Course you will develop a comprehensive action plan to:
• Upgrade compliance controls, testing and reviews to avoid deficiencies,
• Address prospective 2017 Examination priorities and tactics,
• Obtain a deep understanding of the latest Enforcement initiatives,
• Conduct effective risk assessments and inventories, and
• Develop efficient supervisory practices for 3rd Party Service Providers
- Beth Kramer, Partner, Chadbourne & Parke LLP
- Prashanth Mekala, Special Agent, Cyber Division, FBI
- Amy McCormick, Managing Director, NFA
- Steven Yadegari, COO and General Counsel, Cramer Rosenthal McGlynn
- David Fitzgerald, General Counsel and Chief Compliance Officer, Gabelli & Partners
Credit Hours: 1
Subject Area: Professional Practice
States: Contact Curriculum Advisor For More Information
Credit Hours: 2
Subject Area: Accounting
States: Contact Curriculum Advisor For More Information
Course ID Number: 9282
On-Demand Web Programs and Segments are approved in:
Alabama1, Alaska, California, Colorado, Delaware, Florida, Georgia, Hawaii, Idaho*, Illinois , Iowa2*, Kansas, Kentucky*, Louisiana, Maine*, Mississippi, Missouri3, Montana, Nebraska, Nevada, New Hampshire4, New Jersey, New Mexico5, New York6, North Carolina7, North Dakota, Ohio8, Oklahoma9, Oregon*, Pennsylvania10, Rhode Island11, South Carolina, Tennessee12, Texas, Utah, Vermont, Virginia13, Washington, West Virginia, Wisconsin14and Wyoming*.
Iowa, Mississippi, Oklahoma, and Wisconsin DO NOT approve Audio Only On-Demand Web Programs.
Please Note: The State Bar of 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.
*RCA will apply for credit upon request. Louisiana and New Hampshire: RCA will apply for credit upon request for audio-only on-demand web programs.
1Alabama: Approval of all web based programs is limited to a maximum of 6.0 credits.
2Iowa: The approval is for one year from recorded date. Does not approve of Audio-only On-Demand Webcasts.
3Missouri: 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.
4New Hamphsire: The approval is for three years from recorded date.
5New Mexico: On-Demand web programs are restricted to 4.0 self-study credits per year.
6New 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.
7North Carolina: A maximum of 4 credits per reporting period may be earned by participating in on-demand web programs.
8Ohio: 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.
9Oklahoma: Up to 6 credits may be earned each year through computer-based or technology-based legal education programs.
10Pennsylvania: 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.
11Rhode Island: Audio Only On-Demand Web Programs are not approved for credit. On-Demand Web Programs must have an audio and video component.
12Tennessee: The approval is for the calendar year in which the live program was presented.
13Virginia: All distance learning courses are to be done in an educational setting, free from distractions.
14Wisconsin: 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.
Running time and CLE credit hours are not necessarily the same. Please be aware that many states do not permit credit for luncheon and keynote speakers.
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.