On-Demand   On-Demand Web Programs

Financial Services Technology 2018: Avoidance of Risk

Released on: May. 7, 2018
Running Time: 06:09:06

The financial services industry is one of the most heavily regulated industries and the regulations are constantly changing. The Dodd-Frank Wall Street Reform and Consumer Protection Act changed the landscape and companies must maintain their vigilance to comply with its requirements. Federal and state agencies, including the OCC, FFIEC, Federal Reserve and CFPB, have issued regulations, guidance and recommendations regarding data security, cybersecurity, data privacy and the use of social media.

There are also cybersecurity risks that require constant monitoring with offshore and domestic criminals pinging every financial website hundreds of times each day looking for a soft spot in the firewall.

Lecture Topics [Total time 06:09:05]

Segments with an asterisk (*) are available only with the purchase of the entire program.

  • Opening Remarks and Introduction* [00:09:51]
    Richard Raysman
  • Risks of Social Media for Financial Services Providers [00:57:12]
    Patrick Jones, Rashmi Chandra, Jennifer Finnegan
  • Data Security Issues Facing Financial Institutions – a CISO’s Perspective [00:58:44]
    John Rogers, Alicja Cade, Liza Mermegas
  • Vetting Vendor Service Providers for Financial Services Firms [01:03:01]
    Jeremy Pomeroy, Heath N Weisberg, William E. Bandon
  • Financial Services IT - Strategic Alliances and Ownership of IP and Data [00:55:42]
    Sandra L. Kirsch, David M. Ross, Christopher J. Rosina
  • Financial Services Technology - Request for Proposal (RFP) Preparation [01:04:26]
    Richard Raysman, John Gliedman, Delphine Cottin, Michael J. Cammarota
  • Financial Services Technology - Global Risk and Investigations [01:00:10]
    Timothy Belevetz, Benjamin Fitzpatrick

The purchase price of this Web Program includes the following articles from the Course Handbook available online:

  • COMPLETE COURSE HANDBOOK
  • Technology Law in the Digital Age: A Regularly-Updated Digest of Notable Developments (January 2018)
    Richard Raysman
  • Social Media: Consumer Compliance Risk Management Guidance
  • The NIST Cybersecurity Framework
    John Rogers, Richard Raysman
  • Framework for Improving Critical Infrastructure Cybersecurity, Version 1.0 (February 12, 2014)
  • Framework for Improving Critical Infrastructure Cybersecurity, Draft Version 1.1 (January 10, 2017)
  • Cyber Attacks: Prevention and Proactive Responses
    Bridget McCarthy, John Canale, Vince Farhat, Richard Raysman
  • Getting Fooled into Wiring Almost $5 Million to a Thief Can Be Covered by a Cyber Insurance Policy (August 15, 2017)
    Elliot Magruder, Richard Raysman
  • Statement on Cybersecurity (September 20, 2017)
    Jay Clayton
  • Cybersecurity Guidance (April 2015)
  • Observations from Cybersecurity Examinations (August 7, 2017)
  • SEC Announces Enforcement Initiatives to Combat Cyber-Based Threats and Protect Retail Investors
  • Cybersecurity Requirements for Financial Services Companies
  • Fiscal Year 2018 Bank Supervision Operating Plan
  • Reference Your Trade Secret in the Terms of Use to Make it Protectable (February 28, 2018)
    Richard Raysman, Elliot Magruder
  • Reverse Engineering Source Code of Software is Not Limited to Accessing and Testing (January 9, 2018)
    Elliot Magruder, Richard Raysman
  • Guidance on Prevention of Market Manipulation and Other Wrongful Activity (February 7, 2018)
    Maria T. Vullo
  • Guidance Relating to Equifax Data Breach (September 18, 2017)
    Maria T. Vullo
  • Guidance on Managing Outsourcing Risk (December 5, 2013)
  • In the Matter of Western Union Financial Services, Inc., Consent Order under New York Banking Law §§ 39 and 44 (January 4, 2018)
  • Statement on Cryptocurrencies and Initial Coin Offerings (December 11, 2017)
    Jay Clayton
  • Cybersecurity Breaches: Avoiding Pitfalls (October 11, 2017)
    Timothy D. Belevetz

Presentation Material

  • Risks of Social Media for Financial Services Providers
    Patrick Jones
  • Risks of Social Media for Financial Services Providers
    Rashmi Chandra
  • Risks of Social Media for Financial Services Providers
    Jennifer Finnegan
  • Financial Services IT - Strategic Alliances and Ownership of IP and Data
    Sandra L. Kirsch, Christopher J. Rosina, David M. Ross
  • Financial Services Technology - Request for Proposal (RFP) Preparation
    Michael J. Cammarota, Delphine Cottin, John Gliedman, Richard Raysman
  • Financial Services Technology - Global Risk and Investigations
    Timothy Belevetz, Benjamin Fitzpatrick
  • Financial Services Technology -Global Risk and Investigations
    Timothy Belevetz, Benjamin Fitzpatrick
Chairperson(s)
Richard Raysman ~ Holland & Knight LLP
Speaker(s)
William E. Bandon ~ Senior Counsel, Pillsbury Winthrop Shaw Pittman LLP
Timothy Belevetz ~ Holland & Knight LLP
Alicja Cade ~ Credit Suisse
Michael J. Cammarota ~ Managing Director - Associate General Counsel, Contracting, North America, Accenture LLP
Rashmi Chandra ~ Counsel, Intellectual Property & Information Technology, Aetna Inc.
Delphine Cottin ~ BNP Paribas CIB NA
Jennifer Finnegan ~ Senior Vice President and Executive Director, Commercial Risk Solutions, Professional Services , Aon
Benjamin Fitzpatrick ~ United States Department of Justice
John Gliedman ~ Assistant General Counsel, Conduent
Patrick Jones ~ Fidelity Investments
Sandra L. Kirsch ~ KPMG LLP
Liza Mermegas ~ BNP Paribas
Jeremy Pomeroy ~ Pomeroy Law Group PLLC
John Rogers ~ Managing Director and Chief Information Security Officer – Americas, BNP Paribas
Christopher J. Rosina ~ Worldwide Privacy & Cybersecurity Counsel, Micro Focus
David M. Ross ~ Assistant General Counsel - IP and Global Technology Unit, MetLife
Heath N Weisberg ~ CAM Capital
General credit information about this format appears below. For credit information specific to this program, please choose your jurisdiction(s) in the Credit Information box on the right-hand side of this page.

PLI’s live and on-demand webcasts are single-user license products intended for an individual registrant only. Credit will be issued only to the individual registered.


U.S. MCLE States

Alabama:  PLI’s on-demand web programs qualify as “online” credit. Attorneys are limited to 6 credits of online programs per reporting period.

Alaska:  All PLI products can fulfill Alaska’s CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

Arizona:  PLI’s on-demand web programs qualify as “interactive CLE” credit. There is no limit to the number of credits an attorney can earn via interactive CLE programs.

Arkansas:  PLI’s on-demand web programs are not approved for Arkansas CLE credit.

California:  PLI’s on-demand web programs qualify as “participatory” credit. There is no limit to the number of credits an attorney can earn via participatory programs.

Colorado:  All PLI products can fulfill Colorado’s CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

Connecticut: Effective January 1, 2017, all PLI products can fulfill Connecticut’s CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

Delaware:  PLI’s on-demand web programs qualify as “eCLE” credit. Attorneys are limited to 12 credits of eCLE per reporting period, no more than 6 of which may be audio-only.

Florida:  All PLI products can fulfill Florida’s CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

Georgia:  PLI’s on-demand web programs qualify as “in-house” credit. Attorneys are limited to 6 in-house credits per reporting period.

Hawaii:  All PLI products can fulfill Hawaii’s CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

Idaho:  PLI’s on-demand web programs qualify as “self-study” credit. Attorneys are limited to 15 credits of self-study per reporting period.

Illinois:  All PLI products can fulfill Illinois' CLE requirements for experienced attorneys. There is no limit to the number of credits an attorney can earn via PLI products.

Indiana:  PLI’s on-demand web programs qualify as “distance education” credit. Attorneys are limited to 9 credits of distance education per reporting period. Effective January 1, 2019, the limit of distance education per reporting period will increase from 9 to 18 credits.

Iowa:  PLI’s on-demand web programs qualify as “unmoderated” credit. Attorneys are limited to 6 credits of unmoderated programs per reporting period.

Kansas:  PLI’s on-demand web programs qualify as “prerecorded” credit. Attorneys are limited to 6 credits of prerecorded programs per reporting period.

Kentucky:  PLI’s on-demand web programs qualify as “non-live” credit. Attorneys are limited to 6 non-live credits per reporting period.

Louisiana:  PLI’s on-demand web programs qualify as “self-study” credit. Attorneys are limited to 4 credits of self-study per reporting period.

Maine:  PLI’s on-demand web programs qualify as “self-study” credit. Attorneys are limited to 5.5 credits of self-study per reporting period.

Minnesota:  PLI’s on-demand web programs qualify as “on-demand” credit. Attorneys are limited to 15 on-demand credits per reporting period.

Mississippi:  PLI’s on-demand web programs qualify as “distance learning” credit. Attorneys are limited to 6 credits of distance learning per reporting period.

Missouri:  PLI’s on-demand web programs qualify as “self-study” credit. Attorneys are limited to 6 credits of self-study per reporting period.

Montana:  PLI’s on-demand web programs qualify as “self-study” credit. Attorneys are limited to 5 credits of self-study per reporting period.

Nebraska:  PLI’s on-demand web programs qualify as “computer-based learning” credit. Attorneys are limited to 5 credits of computer-based learning per reporting period.

Nevada:  PLI’s on-demand web programs qualify as “self-study” credit. There is no limit to the number of credits an attorney can earn via self-study programs.

New Hampshire:  All PLI products can fulfill New Hampshire’s CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

New Jersey:  PLI’s on-demand web programs qualify as “alternative verifiable learning formats” credit. Attorneys are limited to 12 credits of alternative verifiable learning formats per reporting period.

New Mexico:  PLI’s on-demand web programs qualify as “self-study” credit. Attorneys are limited to 4 credits of self-study per reporting period.

New York

Experienced Attorneys:  All PLI products can fulfill New York’s CLE requirements for experienced attorneys. There is no limit to the number of credits an attorney can earn via PLI products.

Newly Admitted Attorneys:  PLI’s transitional on-demand web programs can be used to fulfill the requirements for New York newly admitted attorneys. Only professional practice and law practice management credits may be earned via transitional on-demand web programs. Ethics and skills credits may not be earned via on-demand web programs.

North Carolina:  PLI’s on-demand web programs qualify as “online” credit. Attorneys are limited to 6 credits of online programs per reporting period.

North Dakota:  PLI’s on-demand web programs qualify as “self-study” credit. Attorneys are limited to 15 credits of self-study per reporting period.

Ohio:  PLI’s on-demand web programs qualify as “self-study” credit. Attorneys are limited to 12 credits of self-study per reporting period.

Oklahoma:  PLI’s on-demand web programs qualify as “online, on-demand” credit. Attorneys are limited to 6 credits of online, on-demand programs per reporting period.

Oregon:  All PLI products can fulfill Oregon’s CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

Pennsylvania:  PLI’s on-demand web programs qualify as “distance learning” credit. Attorneys are limited to 6 credits of distance learning per reporting period.

Puerto Rico:  All PLI products can fulfill Puerto Rico’s CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

Rhode Island:  PLI’s on-demand web programs qualify as “video replay” credit. Attorneys are limited to 6 video replay credits per reporting period.

South Carolina:  PLI’s on-demand web programs qualify as “alternatively delivered” credit. Attorneys are limited to 6 credits of alternatively delivered programs per reporting period.

Tennessee:  PLI’s on-demand web programs qualify as “distance learning” credit. Attorneys are limited to 8 credits of distance learning per reporting period.

Texas:  All PLI products can fulfill Texas’ CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

Utah:  PLI’s on-demand web programs qualify as “self-study” credit. Attorneys are limited to 12 credits of self-study per reporting period.

Vermont:  PLI’s on-demand web programs qualify as “self-study” credit. Attorneys are limited to 10 credits of self-study per reporting period.

Virgin Islands:  All PLI products can fulfill the Virgin Islands’ CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

Virginia:  PLI’s on-demand web programs qualify as “pre-recorded” credit. Attorneys are limited to 8 credits of pre-recorded programs per reporting period.

Washington:  All PLI products can fulfill Washington’s CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

West Virginia:  PLI’s on-demand web programs qualify as “online” credit. Attorneys are limited to 12 credits of online instruction per reporting period.

Wisconsin:  PLI’s on-demand web programs qualify as “repeated, on-demand” credit. Attorneys are limited to 15 credits of repeated, on-demand programs per reporting period. No ethics credits can be earned via on-demand web programs.

Wyoming:  PLI’s on-demand web programs qualify as “self-study” credit. Attorneys are limited to 6 credits of self-study per reporting period.


CPD Jurisdictions

British Columbia (CPD-BC):  PLI’s on-demand web programs are not eligible for CPD-BC credit unless viewed with at least one other attorney or an articled student. In this case, the credit must be recorded as a “study group.”

Ontario (CPD-ON):  PLI’s on-demand web programs qualify as “recorded” credit. If viewed without a colleague, attorneys are limited to 6 credits of recorded programs per year. If viewed with at least one colleague, there is no limit to the number of credits that can be earned via recorded programs.

Quebec (CPD-QC):  PLI’s on-demand web programs can fulfill Quebec’s CPD requirements.

Hong Kong (CPD-HK):  PLI’s on-demand web programs are not approved for CPD-HK credit.

United Kingdom (CPD-UK):  PLI’s on-demand web programs can fulfill the United Kingdom’s CPD requirements.

Australia (CPD-AUS):  PLI’s on-demand web programs may fulfill Australia’s CPD requirements. Credit limits for on-demand web programs vary according to jurisdiction. Please refer to your jurisdiction’s CPD information page for specifics.

Alberta (CPD-ALBERTA):  All PLI products can fulfill Alberta’s CPD requirements. There is no limit to the number of credits an attorney can earn via PLI products.

Dubai (CLPD-DUBAI):  PLI’s on-demand web programs may fulfill CLPD credit requirements.


Other Credit Types

CPE Credit (NASBA):  Select on-demand web programs qualify as the “QAS Self-Study” delivery method. Please check the Credit Information box on the right-hand side of this page to verify CPE credit availability.

IRS Continuing Education (IRS-CE):  PLI’s on-demand web programs may fulfill IRS-CE requirements. To request IRS-CE credit, please notify PLI at plicredits@pli.edu of your request and include your Preparer Tax Identification Number (PTIN).

Certified Fraud Examiner CPE:  PLI’s on-demand web programs may fulfill Certified Fraud Examiner CPE requirements. To request CPE credit or find out which programs offer CPE, please contact PLI at plicredits@pli.edu.

IAPP Continuing Privacy Credit (CPE):  PLI’s on-demand web programs may fulfill Privacy CPE credit requirements.

HR Recertification (HRCI):  PLI’s on-demand web programs may fulfill HR credit requirements.

SHRM Recertification (SHRM):  PLI’s on-demand web programs qualify as "self-paced" credit. SHRM professionals are limited to 30 credits of self-paced programs per recertification period.

Compliance Certification Board (CCB):  PLI’s on-demand web programs qualify as “self-study” credit. Candidates are limited to 10 self-study credits per 12-month period, and certification holders are limited to 20 self-study credits per 2-year renewal period.

Certified Anti-Money Laundering Specialists Certification (CAMS):  PLI’s on-demand web programs are not approved for CAMS credit.

New York State Social Worker Continuing Education (SW CPE):  PLI’s on-demand web programs are not approved for SW CPE credit.

American Bankers Association Professional Certification (ABA):  PLI’s on-demand web programs may fulfill ABA credit requirements.

Certified Financial Planners (CFP):  PLI’s on-demand web programs are not approved for CFP credit.

 

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