About This Course
This CLE program provides guidance on useful practices for protecting customer information, what to do in the event of a data breach and tackling other cyber security situations. Hear about the latest IT (information technology) security threats to your clients and to your practice. This update will highlight the threats that are prevalent today and what steps you should take to protect you and your clients. Panelists will share useful practices for protecting your practice.
After attending this session, you will be able to:
- Discuss challenges firms face in managing cybersecurity programs
- Describe key components of an incident response plan.
- Understand the current regulatory environment, including the Securities and Exchange Commission (SEC) and FINRA reports
- Better understand the importance of having policies and procedures in place to safeguard information including secure communications and data transfer
- Comprehend the benefits of including various departments in the development.
- Compare and contrast tips on how to train staff and investors on cyber threats and empower them with tools to take personal responsibility for the security of data by better explaining the interest they have in keeping it private.
FINRA® is a registered trademark of the Financial Industry Regulatory Authority, Inc.