Cyber Security & Compliance Challenges Facing Financial Advisors in 2021 and Beyond​

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Cyber security threats and data breaches have accelerated during the COVID-19 pandemic, as the confusion and work-from-home orders created a perfect storm of security vulnerability. For every major data breach in the news there are thousands more ransomware and phishing attacks targeting the financial services industry and its clients. What are the emerging threats facing financial services today? How are SEC compliance requirements changing to meet new threats? What can advisors and firms do to protect themselves and their clients?

Hear from leading cyber security and compliance experts break down what advisors should know, the steps they can take to defend themselves, and what they should be communicating to clients.

Request the Cyber Security & Compliance Cheatsheet:

SPEAKERS:

Angel Grant, CISSP
Vice President – Strategy Fraud & Risk Intelligence at F5 Networks LLC

Angel has more than two decades of experience in the cybersecurity, eCommerce and financial services industries. She is a visionary leader with a passion for developing solutions to protect against cybercrime and make our digital world a safer place. Angel is a prominent cybersecurity and diversity evangelist, spokesperson, and frequent blogger. Angel has represented RSA on the PCI Council Board of Advisors, FS-ISAC Board and NACHA’s Payments Innovation Alliance Risk, Regulatory and Security Advisory Committee, and has participated in the Federal Reserve Bank Secure Payments Task Force.

 

Krista Zipfel, CFA
Director at Focus 1 Associates, LLC

Krista has more than 20 years of experience working with investment advisers across all sizes, asset classes, and types of clients served. During her career she has been involved in examination process in both a firm and consultant role. She has prepared and submitted hundreds of regulatory filings. Her experience includes compliance, portfolio management, client service, marketing, research, portfolio administration, operations, trading, and accounting. She has provided valuable advice to CEOs, Presidents, CIOs, portfolio managers, analysts, and administrative and operational staff and understands an RIA’s organization and compliance needs.

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