Strengthen Your Cybersecurity Practices (Small Firm Focus)

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About This Course

This CLE session discusses cybersecurity risks faced by small firms and measures they can take to control those risks on a limited budget. Panelists share their perspectives on determining a firm's cybersecurity priorities (or risk appetite) along with useful practices for designing and implementing a cost-effective Cybersecurity risk management program. Attendees will also learn about the cybersecurity resources available through FINRA’s website.

After attending this session, you will be able to:

  • Explain why it is important for firms of all sizes to address cybersecurity risk.
  • Demonstrate awareness of cybersecurity-related laws and regulations governing broker-dealers.
  • Understand the current regulatory expectations.
  • Better understand the importance of having policies and procedures in place to safeguard information including secure communications and data transfer.
  • Describe considerations when measuring risk, working with a clearing firm, and when using external IT (information technology) support.
  • Discuss what a cybersecurity policy may include and effective practices for testing, updating and training your staff on the policy.
  • Address critical risk items directly with proven control techniques.

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