Cybersecurity Roundtable

October 15, 2018
Spire Event Center

750 First St, NE Washington, D.C.
10:30 a.m. – 4 p.m.




Register Here:



Cybersecurity is an issue for firms of all sizes, and a growing issue for securities regulators at all levels. NASAA is hosting a one-day roundtable in Washington, D.C. to bring together leading experts to discuss critical cybersecurity issues for securities regulators and regulated entities.

Due to anticipated high demand for seats, the roundtable will be broadcast live online starting at 10:30 a.m.

Lunch is provided.

Register today to reserve your seat at the table!

Preliminary Roundtable Agenda

  • Networking Coffee (10 – 10:30 a.m)
  • Introductions (10:30 – 10:45 a.m.)
    • Frank Borger-Gilligan, NASAA President-elect and Assistant Commissioner for Securities, Tennessee Department of Commerce and Insurance
  • Opening Speaker (10:45 – 11:15 a.m.)
    • Matthew B. Floyd, Supervisory Special Agent, Federal Bureau of Investigation
  • Networking Break (11:15 – 11:30 a.m.)
  • Law Enforcement and Regulatory Perspectives on the Cybersecurity Threat (11:30 a.m. – 12:30 p.m.)
    A panel of representatives from law enforcement and regulatory agencies will discuss their perspectives on cybersecurity risks and breaches. The panel will cover recent developments in law enforcement actions regarding cybersecurity issues, steps regulators have taken to encourage cybersecurity risk preparedness, and what happens when firms suffer a breach. The panel will cover both federal and state perspectives on law enforcement and regulatory issues facing financial firms.

    • MODERATOR: Katherine Milgram, Head of Regulatory Affairs and Chief of Staff to the General Counsel, The Guardian Life Insurance Company of America
      • 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
      • Elliott Siebers, Deputy Attorney General, New Jersey Office of the Attorney General
  • Lunch (12:30 – 1:30 p.m.)
    • Provided on site.
  • Examination Findings – Weaknesses and Strengths (1:30 – 2:30 p.m.)
    • MODERATOR: Frank Borger-Gilligan, Assistant Commissioner for Securities, Tennessee Department of Commerce and Insurance
      • David Kelley, Surveillance Director, FINRA
      • Keith Cassidy, Associate Director, Technology Controls Program, SEC Office of Compliance Inspections and Examinations (OCIE)
      • Andrea Seidt, Ohio Securities Commissioner and NASAA Investment Adviser Section Chair
  • Networking Break (2:30 – 2:45 p.m.)
  • Cybersecurity Preparedness: Building a Compliance Program (3 – 4 p.m.)
    A panel of experts will discuss how financial firms can build a cybersecurity compliance program, with a particular emphasis on emerging best practices and the latest trends in cybersecurity preparedness programs. The panelists will discuss how to navigate budget constraints, various regulatory frameworks, and personnel issues. The discussion will focus on securities firms, and will also cover issues of particular importance to small- and mid-sized state-registered investment advisers.  

    • MODERATOR: Amanda Senn, Deputy Director for Enforcement and General Counsel of the Alabama Securities Commission; Chair of NASAA’s Cybersecurity Committee and Chair of the NASAA Investment Adviser Committee’s Cybersecurity Working Group
      • Ernest Wohnig, Senior VP Innovation and Growth, System 1, Inc. / Cybersecurity Board Trustee, TESU
      • Matthew Fink Compliance/Audit Investigator III Nevada Securities Division, member of both the Cybersecurity Committee and Cybersecurity and Technology working group
      • Philip J. Bezanson, Managing Partner (Seattle), Bracewell, LLP
      • K. Gus Dimitrilos, CEO, Cyber Forensics
  • Concluding Remarks (4 – 4:05 p.m.)
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