July 25, 2016

SEC & FINRA Chicago Compliance Outreach Program for Broker-Dealers

Overview

Chicago partner James G. Lundy was a panelist at the SEC & FINRA Chicago Compliance Outreach Program for Broker-Dealers on July 25, 2016.

Jim served on the Cybersecurity Panel, which was moderated by the Director of the SEC Chicago Regional Office. The panel discussed cybersecurity threats impacting broker-dealers, and the challenges related to cybersecurity programs regarding risk assessment, governance, third-party vendors, and incident response.

Services and Industries

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