Webinar: Cybersecurity for Investment Advisers:
Threats and Best Practices

Wednesday, April 30, 2014
1:00 p.m. - 2:30 p.m. (ET)

Topics Covered

A great deal of attention has been focused on cybersecurity in recent months. This webinar will address common cybersecurity threats that are affecting investment advisers, as well as best practices to detect, prevent, and respond to cyber attacks. The panelists will discuss:

• Cybersecurity threats that are trending in the investment adviser profession;
• How threats differ for an investment adviser with retail versus institutional clients;
• What all investment advisers need to know about internal threats from employee activities;
• A framework that investment advisers can use to develop an effective cybersecurity policy;
• The current legal and regulatory framework; and
• What to expect from the SEC.


• John R. (Jack) Hewitt Partner, Gibbons P.C.
• Andrew Schofield, Managing Director-Online Security, Charles Schwab & Co., Inc.
• Laura L. Grossman, Assistant General Counsel, IAA (Moderator)

Register Today

Registration for the live event has closed, but the recording can still be purchased by selecting the "Registration" link on the left side of this page.

Live Recording Both
Members and Associate Members $125* $125 $200
Non-Members $200* $200 $375
*Per computer login


For questions regarding this webinar, call (202) 293-4222 or email

About the Presenters

John R. (Jack) Hewitt is a partner with Gibbons P.C. His practice focuses on securities litigation, along with regulatory advice and counsel to broker-dealers, investment banks, and investment advisers. Mr. Hewitt has represented these firms, their officers, and employees in SEC and FINRA enforcement investigations and enforcement actions. He has written extensively on the regulation of electronic technology in the securities markets. He is the author of the new BloombergBNA Portfolio: Cybersecurity in the Federal Securities Markets. He has a LLM in Securities Regulation from Georgetown University Law Center.

Andrew Schofield, CISSP® is Managing Director-Online Security for Charles Schwab & Co., Inc. He has worked across both technology and web product management in both the Retail and Advisor Services enterprises. For the past several years, he has been the Business Information Security Officer responsible for application security, authentication and client education across Schwab’s client-facing websites. Mr. Schofield is also a retired Lieutenant Colonel, U.S. Army Reserve, where his final assignment was as the commander of an information operations and operational security battalion. He holds a B.S. from Arizona State University and is a graduate of the U.S. Army Command and General Staff College.

Laura L. Grossman is Assistant General Counsel at the IAA. Prior to joining the Investment Adviser Association, Ms. Grossman was in private practice in the New York office of Fulbright & Jaworski L.L.P., where she advised registered investment adviser, mutual fund and private fund clients on matters arising under the Investment Advisers Act and other federal securities laws, the Commodity Exchange Act and associated regulations, and a wide range of compliance issues. She earned her B.A. degree, summa cum laude, from Rutgers College, and her law degree is from the University of Pennsylvania. Ms. Grossman is a member of the New York and New Jersey Bars.


Registration Cancellation or Substitution

For the live webinar, cancellations and substitutions must be received in writing no later than 5:00 p.m. (ET) Monday, April 28, 2014. There are no refunds for cancellations received after this date. Email your requests to