27 August 2019

From cyber security to proxy voting to KYC: CCO panel covers full range of compliance topics at SS&C Deliver

By Shana Bruner

The CCO’s plate is pretty full these days, between ever-expanding disclosure and reporting requirements, tighter investor protection laws, and the challenges of compliance in multiple global jurisdictions. But the 300-pound gorilla in the room is undoubtedly cyber security. A proliferation of malicious breaches targeting financial firms of every stripe has pushed this topic to the top of the SEC’s exam priorities. Investment firms have to be able to demonstrate that they are protecting not only their clients’ confidential information, but also protecting their assets from theft by increasingly sophisticated fraudsters.

The Investment Advisers Association (IAA) has taken a stand in favor of cyber security information sharing laws, as well as a single, national data breach notification regime that would make it easier for affected companies to comply with the law while ensuring that clients and customers are protected. According to IAA General Counsel Gail Bernstein, a recent IAA survey shows “for the sixth year in a row concerns about cyber security top the list by far of what keeps compliance officers awake at night.”

Gail will be moderating the “Chief Compliance Officer Speaks” panel, covering the full range of topics confronting CCOs today, from cyber security and data protection to KYC/AML regulations, proxy voting, firm governance and the 2019 SEC exam priorities. Gail will be joined by Jill Young, Executive Director, Operations and Compliance for Lourd Murray, and by Cindi Pérez, Chief Operations Officer for Ziegler Capital Management. Whether you work in compliance or simply need a fuller understanding of the legal and regulatory pressures facing your firm, this session is sure to be thought provoking and eye opening.

The panel takes place on Wednesday, September 18th at 8:30 a.m. – yet another reason to register now for SS&C Deliver today!