On-Demand   On-Demand Web Programs

Financial Services Technology 2017: Avoidance of Risk

Released on: May. 13, 2017
Running Time: 06:00:43

The financial services industry is heavily regulated, especially in the area of data security and privacy - and the regulations are constantly changing. The Dodd-Frank Wall Street Reform and Consumer Protection Act changed the industry 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 all issued regulations, guidance and recommendations regarding data security, cybersecurity, data privacy and the use of social media.

There are also real cybersecurity risks that require constant monitoring with offshore and domestic criminals pinging every financial website hundreds of times each day looking for vulnerabilities. This program will help you catch up on the latest developments, with a look forward at how the new administration may impact industry requirements.

You will learn:

  • OCC compliance requirements for financial institutions
  • FFIEC final guidance on social media
  • Impact of the Dodd-Frank Act
  • NIST cybersecurity requirements
  • Federal Information Security Management Act
  • Information security issues
  • Mobile apps considerations
  • Strategic alliances — ownership of IP and data
Lecture Topics [Total time 06:00:43]

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


  • Opening Remarks and Introduction* [00:06:07]
    Richard Raysman
  • Risks of Social Media for Financial Services Providers [01:00:42]
    Rashmi Chandra, Jennifer Smith Finnegan, Patrick Jones
  • Data Security Issues Facing Financial Institutions - A CISO’s Perspective [00:58:55]
    John Rogers, Richard Raysman, Ramin Safai
  • Vetting Vendor Service Providers for Financial Services Firms [00:57:25]
    Seth Rachlin, Richard Raysman, Brian F Clayton, Gary Barnett
  • Financial Services IT - Strategic Alliances and Ownership of IP and Data [00:55:27]
    David M. Ross, Donald R. Ballman, Sandra Kirsch
  • Financial Services IT - Request for Proposal (RFP) Preparation [01:00:25]
    Richard Raysman, Dennis Conley, Robert DiGiaro, Joseph Rosenthal
  • Financial Services Technology - Global Risk and Investigations [01:01:42]
    Peter Roman

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 (April 2016)
    Richard Raysman
  • The NIST Cybersecurity Framework
    Richard Raysman, John Rogers
  • Framework for Improving Critical Infrastructure Cybersecurity (February 12, 2014)
  • Draft Framework for Improving Critical Infrastructure Cybersecurity (January 10, 2017)
  • Cybersecurity Requirements for Financial Services Companies, 23 NYCRR 500 (effective March 1, 2017)
  • Examination Priorities for 2017
  • Cybersecurity Guidance
  • In the Matter of Galen J. Marsh, Respondent. Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934 and Section 203(f) of the Investment Advisers Act of 1940, Making Findings, and Imposing Remedial Sanctions, Administrative Proceeding File No. 3-17279 (June 8, 2016)
  • In the Matter of Morgan Stanley Smith Barney LLC, Respondent. Order Instituting Administrative and Cease-and-Desist Proceedings, Pursuant to Sections 15(b) and 21C of the Securities Exchange Act of 1934, and Sections 203(e) and 203(k) of the Investment Advisers Act of 1940, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order, Administrative Proceeding File No. 3-17280 (June 8, 2016)
  • Broadly Drafted Software Licenses and Their Enforcement
    Richard Raysman, Peter Brown
  • Guidance on Managing Outsourcing Risk
  • Cyber Attacks: Prevention and Proactive Responses
    Vince Farhat, Richard Raysman, Bridget McCarthy, John Canale

Presentation Material


  • Risks of Social Media for Financial Services Providers
    Rashmi Chandra
  • Risks of Social Media for Financial Services Providers
    Patrick Jones
  • Risks of Social Media for Financial Services Providers
    Jennifer Smith Finnegan
  • Vetting Vendor Service Providers for Financial Services Firms
    Gary Barnett, Brian F Clayton, Seth Rachlin, Richard Raysman
  • Financial Services IT - Strategic Alliances and Ownership of IP and Data
    Donald R. Ballman, Sandra Kirsch, David M. Ross
  • Financial Services IT - Request for Proposal (RFP) Preparation
    Timothy Belevetz, Peter Roman
Chairperson(s)
Richard Raysman ~ Holland & Knight LLP
Speaker(s)
Donald R. Ballman ~ Senior Counsel, General Electric
Gary Barnett ~ Deputy Director, Division of Trading and Markets, U.S. Securities and Exchange Commission
Rashmi Chandra ~ Counsel, Intellectual Property & Information Technology, Aetna Inc.
Brian F Clayton ~ SVP & Group Counsel, Xerox Business Services, LLC
Dennis Conley ~ Transition Partners
Robert DiGiaro ~ Guggenheim Partners, LLC
Jennifer Smith Finnegan ~ General Counsel, Herrick, Feinstein LLP
Patrick Jones ~ Fidelity Investments
Sandra Kirsch ~ KPMG LLP
Seth Rachlin ~ Vice President, Capgemini
John Rogers ~ Managing Director and Chief Information Security Officer – Americas, BNP Paribas
Peter Roman ~ United States Department of Justice
Joseph Rosenthal ~ The Depository Trust & Clearing Corporation
David M. Ross ~ Assistant General Counsel - IP and Global Technology Unit, MetLife
Ramin Safai ~ Jefferies Group LLC
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.

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

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

Rhode Island:  PLI’s on-demand web programs qualify as “on-demand” credit. Attorneys are limited to 3 on-demand 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:  PLI’s on-demand web programs qualify as “A/V” credit. Attorneys are limited to 22.5 credits of A/V programs per reporting period.

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.


Other Credit Types

CPE Credit (NASBA):  Select on-demand web programs qualify as “QAS Self-Study” credit. 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.

 

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 “Great job. Keep up the good work.” – 2016 Attendee

“Good panelists with very good and useful information. Thank you.” – 2016 Attendee


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