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In an era where digital threats are evolving rapidly, cybersecurity awareness is more critical than ever for registered investment advisors. This session will equip you with practical strategies to develop and enforce compliant cybersecurity policies that protect your clients’ sensitive data and prevent costly breaches. Discover how to foster a culture of security within your firm and effectively assess and manage risks posed by vendors and third-party relationships. You’ll also gain valuable insights into preparing for audits, ensuring your firm identifies and addresses vulnerabilities before they become liabilities. In our industry, now it is more important than ever to ensure you can identify your weaknesses and create your checklist to ensure you are prepared. By strengthening your firm’s cybersecurity posture, you’ll not only safeguard client information but also reinforce the trust and confidence that are the foundation of your practice.
Stephen A. Galletto is a Shareholder and member of Stark & Stark’s Investment Management & Securities Practice Group, where he concentrates his practice on counseling financial service entities, including investment advisers, broker-dealers, public and private investment companies (e.g., mutual funds, hedge funds, etc.), insurance brokers/agents, CPA firms and their employees, on regulatory, compliance, liability, and litigation issues.Prior to joining Stark & Stark, Mr. Galletto gained extensive experience preparing and filing securities registration statements with the Securities Exchange Commission; assisting in the structuring, negotiating, and closing of reverse mergers; and assisting in the structuring of multi-million dollar PIPE financing deals while providing counsel to clients through the closing process.