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Testing Your Cybersecurity Infrastructure and Enforcement Related Developments

April 2015

Watch Recording. (CLE Credit Available)

This webinar covers compliance testing of policies and procedures and “white hat” testing of information technology systems as well as regulatory enforcement activity around cybersecurity programs.

Topics include:

  • Cybersecurity compliance testing under Rule 206(4)-7 and Rule 38a-1 – What CCOs are doing and what boards are expecting 
  • Leveraging the OCIE 2014 Cybersecurity Sweep questions to review your cybersecurity regime 
  • What is penetration testing and what does it tell you about your cybersecurity defenses 
  • “Blackbox” vs. “Glassbox” Testing 
  • How to read the results and prioritize the response 
  • What the SEC, FINRA, CFTC, the FTC and other regulators have said about enforcement priorities around cybersecurity 
  • Cybersecurity litigation and enforcement round-up


  • Moderator: Mark C. Amorosi, Investment Management Partner, K&L Gates
  • Laura L. Grossman, Assistant General Counsel, Investment Adviser Association 
  • Jeffrey B. Maletta, Securities and Transactional Litigation Partner, K&L Gates 
  • András P. Teleki, Investment Management Partner, K&L Gates 
  • Jeromie Jackson, Director of Security & Analytics, Nth Generation Computing, Inc.
  • Jason Harrell, Corporate SIRO - Investment Management, BNY Mellon