According to recent press, the new chairman of the SEC, Gary Gensler, is expected to take a harder line in pursuing misconduct at the SEC than watchdogs did during the Trump administration. While it is still uncertain exactly what his areas of focus will be, based on Mr. Gensler’s background and initial comments, it seems relatively certain that the investment community will see a more active regulatory environment in terms of examinations, enforcement and rulemaking. In light of this, our panel of experts will provide tips on how to navigate increased examinations and enforcement. In particular, they will provide examples of how to handle likely changes on the cybersecurity, privacy, and Environmental, Social & Governance (ESG) fronts.
Key takeaways will include, how to:
- Maintain a strong compliance program with proper documentation and disclosures
- Step up vendor cybersecurity due diligence and maintain defenses against ransomware and phishing attacks
- Develop a repeatable and efficient approach to compliance with privacy regulations as more states like California and Virginia implement laws
- Oversee ESG Investing with regular ESG board reporting from management teams
Christian Kelly, Director of Technology at Xantrion, is a Certified Information Systems Security Professional (CISSP) with 22 years of experience. He and his team are responsible for ensuring the availability and security of all client systems as well as security program conformance to regulatory requirements. Prior to joining Xantrion, Christian was the IT manager and senior systems engineer for an international non-profit.
Mirena Taskova, Managing Director, Head of Privacy & Cybersecurity at Armanino, has over 14 years of wide-ranging privacy and cybersecurity experience and has profound insights into the latest worldwide privacy and cybersecurity developments. Her clients include Fortune 500 businesses in the high-tech electronics manufacturing industry, fintech, pharmaceutical, healthcare, oil and gas, and food/non-food retail industries. Mirena’s work includes advising diverse businesses on various complex privacy and cybersecurity matters.
Sean Wilke is a Partner and Head of Strategic Growth at Greyline and its affiliate GCM Advisory, which specialize in compliance consulting and outsourced finance, accounting and operations. He has extensive experience advising various types of investment managers, including hedge funds, private equity/credit funds, wealth managers, and family offices, on a range of regulatory, compliance, operational and management matters.
Laura Grossman, Moderator, is Associate General Counsel at the Investment Adviser Association. Prior to joining the IAA, Laura was in private practice for over 10 years in the New York office of Fulbright & Jaworski L.L.P. (now Norton Rose Fulbright), where she advised registered investment adviser, mutual fund and private fund clients on matters arising under the Investment Advisers Act, the Investment Company Act and other federal securities laws, the Commodity Exchange Act and associated regulations, and a wide range of compliance issues.
Registration for the live webinar will be open until 9 AM ET May 20.
Members and Associate Members: Registration for the live webinar is complimentary. The recording will be available as a member resource within five business days after the webinar.
Non-Member Registration Fees: The live webinar is available for $150. The recording will be available for purchase after May 20. Contact firstname.lastname@example.org to purchase the recording ($150).
For questions regarding this webinar, contact the IAA at (202) 293-4222 or email email@example.com.
Criminals target financial service firms because that’s where the money is. And like so many firms, they often lack the resources and in-house experience to deal with sophisticated threats and increasing regulatory scrutiny. Xantrion is here to implement and support your IT environment so you can focus on everything else. Work with us to pass SEC and FINRA audits, as well as be protected from cyberattacks. Our security and compliance program is so effective, we provide a security guarantee.