This course is designed to help you understand what regulators expect firms to do and provide tools to design and implement information security .. Read more programs. Federal and state regulators are mandating strict controls and procedures to help ensure that this information is not compromised. Regulatory examination priorities continue to focus heightened attention on a firm’s information security or “safeguarding” controls for protecting customer information. Firms must also be aware of the increasingly strict state laws setting minimum criteria for information security and breach response. Both regulators have led and continue to apply initiatives related to cybersecurity practices at firms. FINRA released in December 2017 a report on examination findings related to Cybersecurity and in August of 2017 the SEC Office of Compliance Inspections and Examinations released Observations from Cybersecurity Examinations The widespread release of findings and observations clearly signals the regulatory desire to have all registered firms develop and implement thorough, well-documented cybersecurity programs. This seminar is designed to help you understand what the regulators are expecting firms to do and provide tools to effectively design and implement an information security program.
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