Cybersecurity Tips for Compliantly Protecting Firm & Client Data

Date: Wednesday, November 30, 2016
Time: 2pm ET | 11am PT
Cost: Free


Every advisor in the 21st century knows of the dangers of identity theft and how firms large and small can be targets of hackers. Taking the necessary steps to protect your data, and your clients' data, from hackers and potential fraud is imperative. Failing to do so could damage your firm's credibility, an irreplaceable asset, and increase the risk of financial loss.

Join this complimentary webcast to learn how to stay compliant with changing SEC and FINRA data security rules and how to keep sensitive personal and financial data from becoming compromised. Our expert panel, including the head of technology for a major broker dealer and a legal and technology consultant to advisory firms will discuss:

  • The latest cyber, identity theft and fraud scams

  • Tips for how to stop cybercriminals now

  • How you can implement a process that makes future cybersecurity intrusions less successful

  • Ways to enlist all employees in securing client data

  • Enhanced cybersecurity techniques to use to attract and retain clients


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Featured Speakers:


Ryan ReinekeRyan Reineke
Chief Operating Officer and Senior VP, Technology
Cambridge Investment Research

Ryan Reineke has served as Cambridge’s chief technology architect for over 13 years. In that time, he has led the introduction of one of the most innovative advisor workstations – featuring advisor-friendly technology that is customizable for the broadest range of independent business models across the IBD industry. His successes as key architect in Cambridge’s technology strategies and customizable solutions are complemented by his leadership within the operations and service areas within the firm. Reineke’s executive responsibilities include executive interface with clearing firms including Pershing and NFS as he leads teams in technology, trading, brokerage operations, supervision, partner support, imaging, and document services.


Cary KvitkaCary Kvitka
Stark & Stark, Attorneys at Law

Cary Kvitka is a Shareholder and member of Stark & Stark’s Securities Practice Group, where he focuses upon 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, about registration, compliance, liability, and litigation issues.


Dean BrunoJames J. ‘Jamie’ Green
Group Editorial Director
Investment Advisor Group/ALM

James J. ‘Jamie’ Green is the editor of and Investment Advisor magazine, publications which have served the independent and independent-minded advisor industry for more than 35 years. Jamie holds a BA in philosophy and has been a print and digital journalist for more than 30 years.


NicoleNicole Newlin
Efficient Advisors

Nicole began her financial services career at First Union Securities in Richmond, Virginia. Later in her role as VP at Wachovia Securities, she crafted the vision and oversaw the implementation plan for all technology advisor education across the Private Client Group and Independent channels.

Prior to joining Efficient Advisors in 2016, Nicole was a Partner at Pathfinder Strategic Solutions, a coaching and consulting firm.  There she worked with financial advisors to build specific, targeted plans for their practices that focused on business development, marketing, client experience and staff development.  Prior to Pathfinder she served in Executive Roles at both Symmetry Partners in Glastonbury, CT and Loring Ward in San Jose, CA.

Nicole holds her B.A. in Political Science/Classics from Randolph Macon College and a Masters in Teaching from Virginia Commonwealth University.


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