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Investment Management CIS Roundtable January 2020 - Addressing Cybersecurity Challenges

January 22, 2020 @ 8:00am to @ 10:00am

Location: Wolf & Company, P.C., 99 High Street FL 8, Boston, MA 02110

Addressing Cybersecurity Challenges – An Update

“…the scope and severity of risks that cyber threats present have increased dramatically, and constant vigilance is required to protect against intrusions.” – Jay Clayton, SEC Chairman, Sept. 20, 2017

With the rapid development of new technology comes the impending evolution of major security and compliance threats. Investment advisors are being cautioned to step up their cyber precautions as the Securities and Exchange Commission (SEC) strengthens their own enforcements in an effort to mitigate these threats.

During this roundtable, we will address and discuss the crucial amendments, updates, and revisions developed over the last few years in the evolving cybersecurity landscape.

We will review regulatory trends and expectations, highlight common mistakes, and present an accepted cybersecurity controls framework that can address your security and compliance challenges.

We will:

  • Review OCIE and FINRA guidance around cybersecurityDiscuss baseline controls
    • 2015-16 OCIE initiative and FINRA cybersecurity report
    • Update with December 2018 FINRA report and 2019 OCIE cybersecurity sweep
    • Highlight areas of focus for investment advisor firms
  • Discuss pen testing and other, more advanced controls

Attendees will gain insights on the following topics:

  • Regulatory focus areas
  • Current relevant threats
  • Security/controls best practices

Event Details
 Wednesday, January 22, 2020
Time: 8:00 – 10:00 AM
Location: Wolf & Company, P.C. | 99 High Street | 8th Floor | Boston, MA
Presenter: Ryan J. Rodrigue, CISA, CISSP – Principal, IT Assurance Services

Registration & Breakfast: 8:00 – 8:30 AM
Presentation: 8:30 – 9:30 AM
Discussion & Peer Networking: 9:30 – 10:00 AM


Please contact Stephanie Creedon, Senior Marketing Specialist at, or (617) 261-8142