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Cybersecurity Threats and Loss Prevention (Medium and Large Firm Focus)

SKU: FR6700
General Credits
  • Instant Online Access
  • All Your Devices
  • DVD & CDs
  • iOS & Android App
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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. Every firm needs a cybersecurity program. Is your current plan as comprehensive or robust as it should be? Are you effectively protecting your firm and your clients from threats? Whether you're just starting out or updating a well-documented approach, this session will provide actionable best practices and highlight in-depth tools to help you strengthen your cybersecurity program.

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.

Lecturer Bios

Andy Zolper

Andy Zolper is Chief Information Security Officer for Raymond James Financial, Inc., a diversified financial services provider with subsidiaries engaged in investment and financial planning, investment banking and asset management. Through its three broker-dealer subsidiaries, Raymond James Financial has more than 6,300 financial advisers, serving more than 2.5 million accounts in more than 2,500 locations throughout the United States, Canada and overseas. As CISO, Mr. Zolper provides strategic direction to identify appropriate security measures, sponsors implementation of security solutions, manages daily security operations and provides governance to manage technology risk—all in order to help Raymond James achieve its business objectives. Mr. Zolper was previously at UBS as CISO of its Wealth Management Americas division, and later as global head of IT Risk Management. Prior to joining UBS, he led teams in IT risk management, global program management and business process reengineering at JPMorgan Chase. Before working at JPMC, Mr. Zolper was responsible for application development at Sterling Resources Inc., and developed the company's process reengineering, e-learning and knowledge management software products. Before joining Sterling Resources, he served in various management roles at Verizon, ranging from staff director of competitive intelligence analysis to field management of "fiber to the curb" deployment. Mr. Zolper graduated from the Virginia Military Institute. He is a U.S. Marine Corps veteran, having served as a communications and signals intelligence officer. He is a graduate of SIFMA's Securities Industry Institute at The Wharton School, a Registered Operations Professional (Series 99), a certified Six Sigma Black Belt and a Certified Information Security Manager (CISM). He represents Raymond James on the Advisory Council of BITS, the technology policy division of The Financial Services Roundtable, and is a member of SIFMA’s Cyber Security Working Group.

David Kelley

Dave Kelley is the Surveillance Director based out of FINRA’s Kansas City District office, and has been with FINRA for six years. Mr. Kelley also leads FINRA’s Sales Practice exam program for cybersecurity and the Regulatory Specialist team for Cyber Security, IT Controls and Privacy. Prior to joining FINRA, he worked for more than 19 years at American Century Investments in various positions, including Chief Privacy Officer, Director of IT Audit and Director of Electronic Commerce Controls. He led the development of website controls, including customer application security, ethical hacking programs and application controls. Mr. Kelley is a CPA and Certified Internal Auditor, and previously held the Series 7 and 24 licenses.

Richard Hannibal

Richard Hannibal has been an Assistant Director in the SEC’s Office of Compliance Inspections and Examinations for 18 years and has been with the Commission for 22 years. After serving 17 years in the Broker-Dealer Examination Program, he recently moved over to OCIE’s Technology Controls Program. Previously, he was a branch chief conducting inspections of the Self-Regulatory Organizations. Prior to coming to the Commission, Mr. Hannibal spent five years at the Legal Services Corporation (government funded legal aid) in a senior regulatory position and seven years as a litigator with a small DC law firm. Mr. Hannibal is a graduate of Wheaton College (Illinois) and Georgetown University Law Center (JD).

Stephanie Mumford

Stephanie Mumford is the Chief Compliance Officer and Senior Legal Counsel of T. Rowe Price Investment Services, Inc., within the Legal Division of T. Rowe Price. In this role, Ms. Mumford provides legal counsel and guidance related to T. Rowe Price Investment Services, Inc., and distribution-related initiatives and business activities in the U.S. Intermediaries and the Individual & Retirement Plan Services divisions. Prior to joining T. Rowe Price in 2013, Ms. Mumford served as special counsel for the Securities and Exchange Commission (SEC) in the Division of Trading and Markets. She previously held the position of senior counsel in SEC’s Office of Compliance Inspections and Examinations. Before her experience at the SEC, Ms. Mumford worked at the Financial Industry Regulatory Authority (FINRA) as counsel in FINRA’s Market Regulation Department. In addition, she previously held compliance positions at Linsco/Private Ledger and The Vanguard Group. Ms. Mumford received her B.A. from Washington and Jefferson College, her M.B.A. from Clemson University and her J.D. from the University of San Diego School of Law. She is a Series 4, 7, 24, and 53 registered representative and is a member of the New York State Bar Association.

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