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  • Description
    This CLE session discusses cybersecurity risks faced by small firms and measures they can take to control those risks on a limited budget. Panelists share their perspectives on determining a firm's cybersecurity priorities (or risk appetite) along with useful practices for designing and implementing a cost-effective Cybersecurity risk management program. Attendees will also learn about the cybersecurity resources available through FINRA’s website. Topics discussed: After attending this session, you will be able to: • Explain why it is important for firms of all sizes to address cybersecurity risk. • Demonstrate awareness of cybersecurity-related laws and regulations governing broker-dealers. • Understand the current regulatory expectations. • Better understand the importance of having policies and procedures in place to safeguard information including secure communications and data transfer. • Describe considerations when measuring risk, working with a clearing firm, and when using external IT (information technology) support. • Discuss what a cybersecurity policy may include and effective practices for testing, updating and training your staff on the policy. • Address critical risk items directly with proven control techniques.
  • Instructor Bio

    Allan Goldstein

    Allan Goldstein is CFO, COO and CCO of Trade Informatics, and is responsible for all compliance and regulatory matters as well as day-to-day operational and financial management of the firm. Mr. Goldstein has worked in the securities industry since 1985, when he began as a Specialist Trading Assistant on the NYSE trading floor. He later operated as an independent floor broker at the NYSE serving as CCO, CFO and FINOP with the floor based “Direct Access” institutional brokerage Safir Securities. Mr. Goldstein has additional experience as an Institutional Sales Trader in global equities and fixed income with Friemark Blair & Co., Chief Compliance Officer at Bear Hunter Structured Products, and Compliance Officer at Bear Wagner Specialists, as part of a team designing its electronic market making business on the Archipelago Exchange. Mr. Goldstein earned his bachelor degree and MBA in Finance and Statistics from the Stern School of Business at New York University.

    David Kelley

    Dave Kelley is the Surveillance Director based out of FINRA’s Kansas City District office, and has been with FINRA for six years. Mr. Kelley also leads FINRA’s Sales Practice exam program for cybersecurity and the Regulatory Specialist team for Cyber Security, IT Controls and Privacy. Prior to joining FINRA, he worked for more than 19 years at American Century Investments in various positions, including Chief Privacy Officer, Director of IT Audit and Director of Electronic Commerce Controls. He led the development of website controls, including customer application security, ethical hacking programs and application controls. Mr. Kelley is a CPA and Certified Internal Auditor, and previously held the Series 7 and 24 licenses.

    David Yacono

    David Yacono is Senior Director of Cyber & Information Security at FINRA. His current responsibilities include FINRA’s software security program, which provides security assurance services to a portfolio of more than 100 internally developed systems, as well as FINRA’s third-party risk management program which evaluates, monitors, and manages the cybersecurity risk posed by FINRA’s vendors, cloud providers, and other third-party relationships. Mr. Yacono is also responsible for FINRA’s IT Security Risk Management and Compliance programs, which ensures compliance with IT security standards including FISMA, PCI-DSS, and FBI-CJIS. Since joining FINRA in 1999 he has served in various roles responsible for ensuring the secure and reliable operation of FINRA’s information technology systems, including security architect and security engineer. Mr. Yacono specializes in the application of information security processes, methodologies, and tools to protect the confidentiality, integrity, and availability of information and information processing systems, with special emphasis on financial services; he has nearly 25 years of experience in cybersecurity. Mr.Yacono earned a Bachelor of Science in Electrical Engineering from the University of Maryland, and holds current certifications as a Certified Information Systems Security Professional (CISSP), a Certified Secure Software Lifecycle Professional (CSSLP), and a Certified Third Party Risk Management Professional (CTPRP).