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What will you learn about?

Like other issues that may impact dealer members as well as the financial services industry as a whole (like money laundering), Cybersecurity and Privacy is not just an issue for the compliance department to worry about and manage. Given the interaction of investment advisors and sales assistants as front-line staff with clients, investment advisors and dealer members are uniquely positioned to play a critical role in the detection and mitigation of cybersecurity and privacy issues. This course will support investment advisors and dealer members in identifying cybersecurity and privacy threats and help them to avoid falling victim to the perils that accompany such threats.

What is the course syllabus?

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Lesson 1 - Background on Cybersecurity and Privacy

Topics covered in this chapter are:

  • Background on Cybersecurity
  • Background on Privacy
  • Why Cybersecurity is a Threat

Lesson 2 - Applicable Industry Rules and Regulations

Topics covered in this chapter are:

  • Industry Rules and Regulations
  • Privacy Considerations

Lesson 3 - Implementing a Cybersecurity Regime

Topics covered in this chapter are:

  • Creating and Implementing a Cybersecurity Regime

Lesson 4 - Practical Considerations

Topics covered in this chapter are:

  • Specific Cyber Issues for Consideration