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Past Event
21 September 2017


  • Matthew Rossi
    T +1 202 263 3374
  • Jeffrey P. Taft
    T +1 202 263 3293

Cybersecurity Compliance for Broker-Dealers and Investment Advisers

On August 7, 2017, the Office of Compliance Inspections and Examinations (“OCIE”) of the Securities and Exchange Commission (“SEC”) announced the results of its second cybersecurity examination initiative in a “risk alert.” These efforts, coupled with recent statements by SEC Chairman Jay Clayton regarding the need to educate investors on the risk of cybercrimes, have placed this issue at the top of the priority list for SEC-regulated companies. As the financial services industry has observed with the New York State Department of Financial Services’ cybersecurity regulation, the states are also developing cybersecurity standards for financial companies. The potential for varying or inconsistent requirements could pose ramifications for broker-dealers and investment advisers.

Please join Mayer Brown partners Amy Pershkow, Matt Rossi and Jeff Taft as they discuss:

  • SEC’s cybersecurity examination initiative
  • Preparing for a cybersecurity examination
  • SEC enforcement actions
  • Cybersecurity regulations in Colorado and Vermont

For additional information, please contact .

Mayer Brown’s Global Financial Markets Initiative helps clients deal with the legal and business challenges resulting from the ongoing turbulence in worldwide financial markets. By mobilizing the firm’s global resources from multiple practices and offices, the initiative provides clients with knowledgeable and timely counsel on a broad spectrum of their legal needs.

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21 September 2017
(To listen to this teleconference, please request access to the audio file.)
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