Cybersecurity Roundtable

June 23, 2017
Spire Event Center

750 First St, NE Washington, D.C.
9 a.m. – 3:30 p.m.




Cyberattacks have become one of the greatest threats globally to our financial sector.

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

Space is limited. Lunch is provided. Register today to reserve your seat at the table!



WEBCAST: Due to anticipated high demand for seats, the roundtable will be webcast for those unable to attend in person. The webcast will begin at 9:30 a.m. To register for the webcast, click here.

Roundtable Agenda

  • Introduction & Opening Remarks (9:30 – 9:45 a.m)
    • Mike Rothman, NASAA President and Minnesota Commissioner of Commerce
  • Cybersecurity and Financial Services: The FBI Perspective (9:45 – 10:30 a.m.)
    The roundtable will open with a fast-paced and eye-opening presentation from the Federal Bureau of Investigation (FBI). The presentation will give attendees an unclassified overview of the current nature of the cyber threat to American institutions and businesses, including financial services businesses.  

    • Supervisory Special Agent Jonathan L. Dean, FBI, Cyber Division, Mission Critical Engagement Unit
  • Regulatory Perspectives on the Cybersecurity Threat (10:45 – 11:45 a.m.)
    A panel of regulators and regulatory policy experts will discuss how financial regulators are helping registrants and other regulated entities safeguard their systems, their clients, and customers’ data. Panelists will explore the implications of the cyber threat for regulated elements of the financial services industry that relate to education, guidance, compliance, and even enforcement. The panel will include information about federal regulatory perspectives and activities, but it will focus primarily on regulators of small- and mid-size institutions, and NASAA’s perspective and work.

    • MODERATOR: Andrea Seidt, Commissioner, Ohio Division of Securities
    • Christopher Hetner, Senior Cybersecurity Advisor to the SEC Chair
    • Catherine Jones, Chair, NASAA Investment Adviser Section Cybersecurity and Technology Project Group, Nebraska Bureau of Securities
    • David Kelley, Surveillance Director, FINRA
    • Brian Peretti, Director, Office of Critical Infrastructure Protection and Compliance Policy, U.S. Department of Treasury
  • Lunch (12- 1 p.m.)
  • Cybersecurity: A View From the Chief Information Security Officers (CISOs) (1 – 2 p.m.)
    A panel of experts will examine the industry’s perspective on the cyber threat, their concerns and considerations on working with regulators on cybersecurity, and their reaction to the themes of the previous panel, with an emphasis on securities firms. The panel will spotlight current response trends to cybersecurity risk, what larger firms are doing to counter the cyber threat, where smaller firms should be focusing, and the differences and similarities between the two. The panel also will explore the level of interconnectivity that exists between small- and mid-sized investment adviser and broker-dealer firms and the banking / financial system more broadly.

    • MODERATOR: Joseph P. Borg, Director, Alabama Securities Commission
    • Jack Donnelly, Chief Information Security Officer, U.S. Department of Treasury
    • Jason Mayor, Manager, IT Vendor Risk Management, IT Governance, Risk, and Compliance, Raymond James Financial, Inc.
    • Chris Morrow, Chief Information Officer, Warren Averett, CPAs and Advisors
  • Scaling the Threat: Cybersecurity Basics on a Budget (2:15 – 3:15 p.m.)
    The discussion will focus on how small- and mid-sized financial firms can have access to resources despite budget constraints. The primary focus of the panel will be state-registered investment advisers, but the discussion also will be relevant to other small-sized financial firms.

    • MODERATOR: A. Valerie Mirko, General Counsel, NASAA
    • Adam DiPaolo, Associate General Counsel, Consultant, Ascendant Compliance Management
    • Buddy Doyle, Founding Principal and Managing Director, Oyster Consulting LLC
    • Peter Falco, Director of Broker-Dealer Services, Financial Services Information Sharing and Analysis Center (FS-ISAC)
    • Andrew Hartnett, Partner, Greensfelder, Hemker & Gale PC
  • Concluding Remarks (3:15 – 3:30 p.m.)
    • Joseph P. Borg, Director, Alabama Securities Commission
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