Instructor:
Lisa Marsden
Product ID: 704474
Why Should You Attend:
On September 15, 2015, the Office of Compliance Inspections and Examinations (OCIE) issued the 2015 Cybersecurity Examination Initiatives. One of those initiatives relates to how financial firms are conducting due diligence reviews of their Vendors. Many firms are not prepared to conduct this type of due diligence on the firms they partner with. Many of the third party vendors, such as the firm’s CPAs, program providers and outsourced IT firms may not even realize they are subject to this type of scrutiny from their clients, or even understand how to answer their questions. With cyber security and privacy Issues being an on-going area of concern for all areas of finance, the third party vendor and risk assessment will be a focus of regulatory exams as well as a significant business process for years to come.
Learning Objectives:
Areas Covered in the Webinar:
Who Will Benefit:
Lisa M. Marsden, IACCP ®, is the President and Founder of Coulter Strategic Services. Coulter Strategic Services provides Financial Advisors and compliance consulting firms with compliance and project management services. Prior to that, Ms. Marsden was in the C-Suite as a CTO, COO and CCO for Registered investment advisors in Florida. Ms. Marsden has a degree in computer programming from Keiser University, and holds the Investment Advisor Certified Compliance Professional Designation (IACCP®) and SHE IS ALSO A CFA, Investment foundations certificate holder. She also held positions in the Banking Trust industry for several years. Ms. Marsden is the 2017 president of the financial planners association of south florida
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