• electronic risk identification
• design and implementation of effective security procedures
• testing and monitoring
• training
• analysis of service providers, and
• incident response procedures

This discussion will review in detail the electronic security standards established by the SEC's Reg S-P and its proposed amendments, the Interagency Guidelines for Information Security of the Federal banking agencies and the NIST's Information Security Guidelines. Current relevant case law including the LPL Techonology matter will be analyzed and all recent problem viruses, worms and other problem areas will be addressed as will their technological and
procedural solutions.

Members of the panel include:
John R. Hewitt-McCarter Partner, Editor and Author of the ALM treatise, Securities Practice and Electronic Technology, SEC appointed Independent Consultant in the LPL Technology Corp. matter, frequent author and speaker in this area and counsel to numerous financial institutions.

Scott Christie-McCarter Partner, former Head of the Computer Hacking and Intellectual Property Section for the District of New Jersey US Attorney's Office, frequent author and speaker in this area and counsel to numerous financial institutions.

Bill Moran-McCarter Partner, former New York ADA and counsel to banks, broker-dealers, investment advisors and hedge funds in securities related disputes and regulatory enforcement investigations and proceedings.

Buddy Doyle-Partner in Oyster Consulting, LLC, former Director of Technology of Wachovia Securities and frequent lecturer and author in this area.

Wednesday, October 14, 2009
8:30-10:30 AM
Financial Centre, Suite 304A
695 East Main Street
Stamford, CT 06901

Webinar participation is also available. Please call us for login information.