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Second Annual Current Issues in FINRA Regional CLE Program

SCA’s Jim Catrett, SVP Compliance, joins a panel of industry thought leaders to discuss:
Cybersecurity and Data Safeguarding for Broker-Dealers and Investment Advisers The protection of customer data is paramount to the modern investment professional, and this panel will address the current cybersecurity landscape for broker-dealers and investment advisers. This panel will include a description of some of the common cybersecurity risks that brokers face, and techniques they can use to control and shift risk. The panel will discuss both the Safeguards Rule of Regulation S-P and the Identity Theft Red Flags Rules of Regulation S-ID. The panel will address FINRA’s resources for members on data security, and its efforts on data protection after its seminal 2015 Report on Cybersecurity Practices. Lastly, the panel will discuss potential civil liability for brokers and investment advisers after a breach event.

For more information and to register, please visit:

February 22, 2019, 12:30 – 4:30 pm

Law Offices of Carlton Fields – 4221 W. Boy Scout Blvd. Ste. 1000 Tampa, FL 33607