Regulatory Compliance Association Reviews

Cybersecurity Compliance Requirements for Asset Managers

Practice Edge 02

Date: November 15, 2016
General Session: 12 Noon to 1:30 PM HKT
Location: Webcast (Free)

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Regulatory scrutiny continues to escalate regarding Cybersecurity for Alternative Investment and Asset Management firms.

Regulatory agency expectations for Cybersecurity include a composite of:

  • The SEC’s Cybersecurity Roundtable
  • OCIE Cybersecurity Sweep Examination – targeting more than 50 investment advisers, fund managers and broker-dealers
  • OCIE Cybersecurity Sweep Examination Letter
  • The recruiting of top-level Information Security executives to lead the SEC’s Cybersecurity initiative
  • The acquisition of senior level Alternative Investment operations executives for the leadership of OCIE
  • OCIE’s compendium of examination Cybersecurity deficiencies
  • The Division of Investment Management’s Cybersecurity Guidance Update addressing issues for investment funds and advisers

Consequently, many Alternative Investment and Asset Management firms have tasked their compliance officers and operations executives with addressing an evolving set of regulatory expectations for Cybersecurity.

Session Chairman:

Walter Zebrowski, JD, CPA, Principal, Hedgemony Partners
Chairman, Regulatory Compliance Association

Senior Fellows:

Steven A. Yadegari, COO and GC, Cramer Rosenthal McGlynn, LLC
Beth R. Kramer, Partner, Chadbourne & Parke

Guest Lecturers:

Christopher Hetner, Senior Cybersecurity Advisor to the Chair, SEC
Prashanth Mekala, Special Agent, Cyber Division, FBI
Amy McCormick, Managing Director, NFA
David L. Fitzgerald, GC and CCO, Gabelli & Partners
Ronald Nixon, CTO, Deputy Director Cybersecurity, NES Associates
Darren Wray, CEO, Fifth Step

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