transcript   Transcript

SEC Regulation of Public Companies and Law Firms in the Context of Cyber Security

Recorded on: Jan. 19, 2017
Running Time: 00:57:13

Full Transcript:



If you are a Privileged Member, just log in and start reading now! If you are not a Privileged Member, please click here to learn how unlimited access to PLI programs may be right for you and your firm.

To access the streaming media of this presentation, please purchase the corresponding seminar segment.

Taken from the Web Program Cybersecurity Best Practices for Legal Services Providers 2017 recorded January, 2017 in New York.

SEC Regulation of Public Companies and Law Firms in the Context of Cyber Security [00:57:13]

  • SEC Cybersecurity Guidance of 2015
  • Office of Compliance Inspections and Examinations: SEC Cybersecurity Examinations (2014 and September 2015 against broker dealers/Registered Investment Advisors), priority for 2016
  • SEC Safeguard Rule, Regulation SCI (Systems Compliance and Integrity)
  • Fines and Enforcement Initiatives
  • Investigations
  • Customer Data Protection
  • Role/Responsibilities of Board of Directors and Management

The purchase price of this segment includes the following article from the Course Handbook available online:

  • Cybersecurity Examination Sweep Summary, National Exam Program Risk Alert, Office of Compliance Inspections and Examinations (“OCIE”), United States Securities and Exchange Commission, Vol. IV, Issue 4 (February 3, 2015)
  • A Threefold Cord—Working Together to Meet the Pervasive Challenge of Cyber-Crime, SINET Innovation Summit(June 25, 2015)
    Richard Raysman, Luis A. Aguilar
  • Staff Guidance on Current SCI Industry Standards (November 19, 2014)
  • Examination Priorities for 2016, National Exam Program, Office of Compliance Inspections and Examinations (“OCIE”), United States Securities and Exchange Commission
  • Cybersecurity Guidance, Division of Investment Management, No. 2015-02 (April 2015)
  • Final Rule: Privacy of Consumer Financial Information, 17 CFR 248 (Regulation S-P) (November 13, 2000)
  • SEC Charges Investment Adviser With Failing to Adopt Proper Cybersecurity Policies and Procedures Prior To Breach (September 22, 2015)
    Richard Raysman

Presentation Material

  • SEC Regulation of Public Companies and Law Firms in the Context of Cyber Security
    Nancy Saltzman
  • SEC Regulations of Public Companies and Law Firms in the Context of Cyber Security
    Joel L. Rubinstein
  • SEC Regulation of Public Companies and Law Firms in the Context of Cyber Security
    Amy S Leder
  • SEC Regulation of Public Companies and Law Firms in the Context of Cyber Security
    Matt Waxman
(s)
Amy S Leder ~ Holland & Knight LLP
Joel L Rubinstein ~ Winston & Strawn LLP
Nancy Saltzman ~ Executive Vice President, General Counsel & Chief Compliance Officer, EXL
Matthew C Waxman ~ Columbia Univ School of Law
Share
Email
Transcript FAQ's
  • How Can I Access Transcripts?
    You must be a Member in good standing.

  • Can I access the Video?
    Yes, you can access the video if you have the Adobe Flash plugin installed. Click on the video camera icon when you mouse over each paragraph. The media will begin playback at that point.

  • Can I get CLE credit for reading the transcript?
    No, CLE credit cannot be earned for reading a transcript. CLE credit is issued only for verified attendance while watching a web program. If seeking credit, please verify the program's eligibility for credit and expiration date in your jurisdiction on the web segment launch page before commencing the program.

  • FOLLOW PLI:
  • twitter
  • LinkedIn
  • GooglePlus
  • RSS

All Contents Copyright © 1996-2017 Practising Law Institute. Continuing Legal Education since 1933.

© 2017 PLI PRACTISING LAW INSTITUTE. All rights reserved. The PLI logo is a service mark of PLI.