WASHINGTON, D.C. (June 16, 2017) — The North American Securities Administrators Association (NASAA) today announced the agenda and speakers for its June 23 ,2017 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 NASAA President and Minnesota Commissioner of Commerce Mike Rothman, the program will begin with an unclassified overview of the current nature of the cyber threat to American institutions and businesses, including financial services businesses, from Jonathan L. Dean, Supervisory Special Agent with the Federal Bureau of Investigation’s Cyber Division, Mission Critical Engagement Unit.

Panel One: 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.

  • Moderator: Andrea Seidt, Commissioner, Ohio Division of Securities
  • Participants: Christopher Hetner, Senior Advisor to the Chair for Cybersecurity Policy, U.S. Securities and Exchange Commission; Catherine Jones, Chair, NASAA Investment Adviser Section Cybersecurity and Technology Project Group, Nebraska Bureau of Securities; David Kelley, Surveillance Director, FINRA; and Brian Peretti, Director, Office of Critical Infrastructure Protection and Compliance Policy, U.S. Department of Treasury.

Panel Two: Cybersecurity: A View From the Chief Information Security Officers (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.

  • Moderator: Joseph P. Borg, Director, Alabama Securities Commission
  • Participants: 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.

Panel Three: Scaling the Threat: Cybersecurity Basics on a Budget (2:15 – 3:15 p.m.)
This discussion will focus on how small- and mid-sized financial firms can have access to resources despite budget constraints.

  • Moderator: A. Valerie Mirko, General Counsel, NASAA
  • Participants: 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

The roundtable will be held from 9 a.m. to 3:30 p.m. in the Spire Event Center, 750 First Street NE, in Washington, D.C. Seating is limited and on a first come-first served basis. For those unable to attend in person, NASAA is offering a virtual, live-streaming version of the roundtable.

Registration Information

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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