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Building a Resilient Cybersecurity Program: Protecting Your Practice Through Security and Regulatory Compliance

5 (1 vote)

As a financial advisory firm, your cybersecurity program must effectively balance regulatory requirements with practical security measures. This practice-focused course provides actionable frameworks to design and implement a robust cybersecurity program that ensures compliance with SEC, FINRA, IRS, and NYDFS requirements while protecting client assets and firm reputation. You'll gain specific tools and protocols to prepare for examinations, breaches, and cyber insurance claims.

Disclaimer:
The views and opinions expressed in FPA Learning Sessions are those of the speaker(s) and do not necessarily represent the views or opinions of the webinar organizers.

  • Understand Key Foundational Elements: Master the essential components of a Cyber Program aligned with your practice size, including structures, critical policies, and cost-effective controls.
  • Align with Regulatory Requirements: Implement proven approaches to meet regulatory requirements while optimizing resource allocation and staff engagement.
  • Implement Best Practices: Apply proven strategies for building and maintaining a sustainable Cyber Program that demonstrates compliance and supports practice growth.

Brian Edelman

CEO, FCI

Brian Edelman, CEO of FCI, is a nationally recognized cybersecurity expert specialized in the financial services industry. In 1986, he started his career with a top producing, multi-disciplined financial services sales office. In 1995, he founded FCI, a managed security service provider (MSSP), to offer a complete suite of cybersecurity solutions customized for financial services firms with independent sales offices. Over the years, Edelman has developed a unique expertise around regulations, compliance and cybersecurity. Frequently, he speaks and joins panels at major conferences in the industry. Edelman is also called upon by the media and journalists from major publications like CNBC, Financial Planning Magazine, and Investment News whenever there are critical discussions about cybersecurity.

Vincent Guyaux

CISO

Buckler

Vincent Guyaux has corporate management, sales, and business development expertise in North America, Asia, and Europe. Over the years, he has built a network of contacts in financial, high-tech, manufacturing, consumer electronics, advanced materials, and investment communities. Vincent is Founder, CISO, and Chairman of the Board at Buckler, a Cybersecurity Program Management System, Business Advisor at Managed Cybersecurity Service Provider FCI, and Advisory Board Member at Open VRM, a free Vendor Risk Management standard and platform. Vincent was trained by the MIT Sloan School of Management and guest-lectured on creating business plans at McGill University. He holds a College Degree in Computer Science and a Cybersecurity Risk Management Certificate from Harvard University

Key:

Complete
Failed
Available
Locked
Section 1: The Importance of a Resilient Cybersecurity Program
Open to view video.
Open to view video.
Exam - Section 1: The Importance of a Resilient Cybersecurity Program
3 Questions  |  2 attempts  |  2/3 points to pass
3 Questions  |  2 attempts  |  2/3 points to pass
Section 2: Foundations of a Cybersecurity Program
Open to view video.
Open to view video.
Exam - Section 2: Foundations of a Cybersecurity Program
3 Questions  |  2 attempts  |  2/3 points to pass
3 Questions  |  2 attempts  |  2/3 points to pass
Section 3: Implementing & Assessing Zero Trust Security Controls
Open to view video.
Open to view video.
Exam - Section 3: Implementing & Assessing Zero Trust Security Controls
3 Questions  |  2 attempts  |  2/3 points to pass
3 Questions  |  2 attempts  |  2/3 points to pass
Section 4: Critical Elements of Managing Your Cyber Program
Open to view video.
Open to view video.
Exam - Section 4: Critical Elements of Managing Your Cyber Program
3 Questions  |  2 attempts  |  2/3 points to pass
3 Questions  |  2 attempts  |  2/3 points to pass
Section 5: Preparing for the Unexpected
Open to view video.
Open to view video.
Exam - Section 5: Preparing for the Unexpected
3 Questions  |  2 attempts  |  2/3 points to pass
3 Questions  |  2 attempts  |  2/3 points to pass
Section 6: Best Practices for Long-Term Success
Open to view video.
Open to view video.
Exam - Section 6: Best Practices for Long-Term Success
3 Questions  |  2 attempts  |  2/3 points to pass
3 Questions  |  2 attempts  |  2/3 points to pass
Course Evaluation
7 Questions
Certificate of Completion
3.5 CFP CE credits  |  Certificate available
3.5 CFP CE credits  |  Certificate available