NASAA Announces Agenda and Speakers for Cybersecurity Roundtable

WASHINGTON, D.C. (October 2, 2018) — The North American Securities Administrators Association (NASAA) today announced the agenda and speakers for its October 15, 2018 cybersecurity roundtable, which will bring together leading experts to discuss the latest developments in cybersecurity and how small- and mid-sized investment adviser and broker-dealer firms can help protect critical client information.

Following opening remarks by Frank Borger-Gilligan, NASAA President-elect and Assistant Commissioner for Securities at the Tennessee Department of Commerce and Insurance, the program will open with an unclassified overview of the current nature of the cyber threat to American institutions and businesses, including financial services firms, from Matthew B. Floyd, Supervisory Special Agent, Federal Bureau of Investigation.

The program continues with three discussions. The first, moderated by Katherine Milgram, Head of Regulatory Affairs and Chief of Staff to the General Counsel, The Guardian Life Insurance Company of America, will examine law enforcement and regulatory perspectives on the cybersecurity threat. Panelists include: Robert Cohen, Chief of Cybersecurity Unit, U.S. Securities and Exchange Commission; Bryon Jones, Assistant United States Attorney Middle District of Tennessee; Brian Peretti, Director, Office of Critical Infrastructure Protection and Compliance Policy, U.S. Department of the Treasury; and Elliott Siebers, Deputy Attorney General, New Jersey Office of the Attorney General.

The second discussion, moderated by NASAA President-elect Borger-Gilligan, focuses on recent examination findings. Panelists include: David Kelley, Surveillance Director, FINRA; Keith Cassidy, Associate Director, Technology Controls Program, SEC Office of Compliance Inspections and Examinations (OCIE); and Andrea Seidt, Ohio Securities Commissioner and NASAA Investment Adviser Section Chair.

The final panel, moderated by Amanda Senn, Deputy Director for Enforcement and General Counsel of the Alabama Securities Commission; and Chair of NASAA’s Cybersecurity Committee and the Investment Adviser Section’s Cybersecurity Working Group, will discuss how financial firms can build a cybersecurity compliance program. Panelists include: Ernest Wohnig, Senior VP Innovation and Growth, System 1, Inc.; Matthew Fink Compliance/Audit Investigator III Nevada Securities Division; Philip J. Bezanson, Managing Partner, Bracewell, LLP; and K. Gus Dimitrilos, CEO, Cyber Forensics.

The roundtable will be held from 10:30 a.m. to 4 p.m. in the Spire Event Center, 750 First Street NE, in Washington, D.C. Seating is limited and NASAA is livestreaming the roundtable.

Registration Information

  • Registration information to attend in person or online is available on NASAA’s website, here.

NASAA is the oldest international organization devoted to investor protection. Its membership consists of the securities administrators in the 50 states, the District of Columbia, Puerto Rico, the U.S. Virgin Islands, the provinces and territories of Canada, and Mexico.

For More Information:
Bob Webster | Director of Communications

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