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Uncharted Territory: Navigating New Rules and Evolving SEC Expectations for Cyber, AI, and Reg S-P

May 21, 2025 from 1:00 PM to 2:00 PM (ET)

Join the IAA and Salus GRC for a webinar to help advisers navigate evolving regulatory expectations and cybersecurity requirements for investment advisers. We’ll cover key trends, challenges, and strategies that will help strengthen your compliance and cyber programs.

  • Expectations under the new administration: how regulatory priorities are shifting
  • What does the amended Reg S-P rule mean for cyber programs?
  • SEC exam trends: the heightened focus on cyber policies, risk assessments, vendor oversight, and incident response planning
  • Operational challenges for implementing the new Reg S-P requirements
  • The AI dichotomy: productivity enabler for portfolio management and compliance vs. an emerging cyber threat
  • Practical tips to enhance your compliance and cyber programs ahead of the new Reg S-P requirements

Registration is now closed. IAA members may access the complimentary recording after the event concludes.

 

Continuing Education

IACCP: This webinar is eligible for one hour of Investment Adviser Certified Compliance Professional® (IACCP®) continuing education credit. IACCP designees have primary responsibility for reporting continuing education activities by the reporting period deadline. The IACCP program is co-sponsored by the Investment Adviser Association and COMPLY. For more information, please contact nrstraining@comply.com.

CLE: The IAA will apply for CLE accreditation in the following states: California, Illinois, Pennsylvania, and Texas.

New York: Under New York’s Approved Jurisdiction policy, New York attorneys may claim credit earned through participation in out-of-state courses accredited by a New York Approved Jurisdiction. More information is available on the New York State Bar website. Illinois and Nebraska are considered approved jurisdictions.

If you have questions about this webinar or need help registering, please contact Mary Kanda at mary.kanda@investmentadviser.org.

Webinar Speakers

Valerie Ruppel is the chief compliance officer of IMA Advisory Services, Inc. She is an expert in securities regulation and investment adviser legal and operational compliance. Previously, she served as the head of U.S. regulatory consulting for Bovill-Newgate, an international compliance consulting firm. She has also served as an attorney-advisor in the SEC Division of Examinations; as vice president and senior counsel at ALPS Fund Services, Inc.; and as counsel at Great-West Financial (now, Empower Retirement). She holds a B.A. in Philosophy from Pepperdine University and J.D. from the University of Denver – Sturm College of Law. She is also a member of the Colorado Bar. 

E.J. Yerzak, CISA, CISM, CRISC, is managing director at Salus GRC. He has over two decades of experience as a cybersecurity and regulatory compliance professional. Previously, he was director of cybersecurity services for Confluence Technologies, which acquired Compliance Solutions Strategies (CSS) where he served in the same role. Yerzak has authored numerous articles on emerging technology and regulatory issues published in journals and by third parties and is the author of two award-winning technothriller fiction novels. He earned a J.D., magna cum laude, from Quinnipiac University School of Law, an M.S. from Central Connecticut State University in Computer Information Technology/Computer Science, and a dual B.A. from Colgate University, magna cum laude, in English and Computer Science. 

Sanjay Lamba is associate general counsel at the IAA. Prior to joining the IAA, Lamba worked at SEC headquarters for 10 years, beginning his service in the rulemaking office of the Division of Investment Management before transferring to the Office of Chief Counsel (Legal Branch) in the Office of Compliance Inspections and Examinations in 2010. Prior to the SEC, he was in private practice advising registered investment adviser and mutual fund clients on a wide range of matters arising under the federal securities laws. He received his B.S. degree in Finance from George Mason University and his law degree from Boston University.  

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