Navigating the Financial Regulations of Cyber Security

    /Lisa M.  /Marsdenspeaker of Training Doyensinvite
    Speaker: Lisa M. Marsden

    More Trainings by this Expert
    Duration: 60 Minutes
    Product Code: 50428
    Level: Intermediate

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Russians Hacking the Elections, Activist Hacking for Political Reasons, Competitors Hacking each other.  Fraudsters hacking for Profit, Hackers for Hire.  

Know why you are a target; learn how to incorporate policies and procedures and to test for the effectiveness of those policies and procedures.  

Learn what you may be liable for even if you have a cyber plan.

The regulators are constantly issuing alerts, and enforcements in the area of cyber-security in the financial industry.  They do this as a way to help protect the investor and maintain capital formation.  Advisors, Custodians, and Third Parties all work together to offer services to the Investor and each has a responsibility to keep the clients personal identifiable information safe as well as to defend and remediate in the case of an incident.  This session will review the cyber security landscape in the financial services industry.


Computer Intrusions are the cyber actor’s portal to invade and burglarize homes and business across the nation and the threat will only continue to grow.  The Financial Industry is faced with increasingly complex threats almost daily. These threats challenge traditional models of law enforcement, IT Management and Regulations.   Education, awareness and communication will help defend against the criminal element and protect our clients and our firms. The ongoing impact to financial firms is of critical importance to all.  We hope this session will help educate you on your role in the defense process as well as review the regulatory landscape surrounding this topic.


  • The defensive role and Obligation of the Financial Firm as protector of client data
  • Effective Communication between team members of a Financial Firm
  • Basic everyday tools to keep the Cyber Criminal at bay
  • Learn how to use the SEC Cyber Security Sweep exam to design the in house Cyber Defense Plan
  • How to effectively perform due diligence on Outsourced Vendors
  • Ways to stay educated on Cyber Defense


The Securities and Exchange commission has conducted focused exams relating to cyber security and released risk alerts on the subject.  All firms no matter their size need to understand the risks they face in order to protect their firms and their clients personal identifiable information. Firms and individuals must also understand their obligations and duties to follow the regulations.


  • Financial Industry
  • Compliance Industry
  • Technology Industry
  • Operations Managers/Directors
  • IT
  • Portfolio Mangers
  • Financial Planners
  • Investment Managers/Advisors


Years of Experience: 30+ years

Areas of Expertise: Financial Services

Coulter Strategic Services provides Financial Advisors and compliance consulting firms with compliance and project management services and customized compliance training. Prior to starting her own firm, Ms. Marsden was a partner and member of the C-Suite at Financial Advisory Firms in Florida. Ms. Marsden has a degree in computer programming from Keiser University and holds the Investment Advisor Certified Compliance Professional Designation, and she is a CFA Investment Foundations Certificate Holder. Ms. Marsden is the 2017 President of the Financial Planners Association of South Florida.

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