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Tools and Procedures to Manage Cybersecurity Risk and Reduce SEC Violations

Level: Advanced
Runtime: 60 minutes
Recorded Date: October 05, 2017
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  • Identify
  • Cybersecurity Risk
  • Cybersecurity Threat Vectors
  • Recent changes in Cybersecurity law
  • Understand
  • SEC Regulatory expectations
  • Interpreting new information sharin glaw
  • Implementing a comprehensive cybersecurity program
  • Implementing an Incident Response Plan
Runtime: 1 hour
Recorded: October 5, 2017


In this program, the panel of experts will give you their takeaways from the SEC's 2016 sweep exams and provide an understanding of the New York State Department of Financial Services Cybersecurity Regulations (DFS Rule).

This program was recorded on October 5th, 2017.

Provided By

ALM Events
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Marshall Terry, Esq.

Managing Director, Chief Operating Officer and Chief Compliance Officer
Rotation Capital Management, LP

Mr. Terry is a Managing Director, the Chief Operating Officer and the Chief Compliance Officer of Rotation Capital Management, LP. From November 2010 to July 2015, Mr. Terry was a Managing Principal, the Chief Operating Officer and the Chief Compliance Officer of South Ferry Capital Management, LP.

From April 2010 to October 2010, Mr. Terry was an Associate Principal at eClerx LLC providing operational and legal risk management consulting services to the firm’s buy side clients. From June 2009 to February 2010, Mr. Terry was the Chief Operating Officer and Chief Compliance Officer at DW Investment Management, LP., a spin-out of Brevan Howard US Asset Management LP.

From October 2008 to June 2009, Mr. Terry was the Chief Operating Officer for Credit Products at Brevan Howard US Asset Management LP. From May 2007 to October 2008, Mr. Terry was Head of Derivative and Loan Operations and Derivatives Counsel at Sandelman Partners, LP. From 2001 to 2007, Mr. Terry served as the Director of Derivative Operations and Derivatives Counsel at Moore Capital Management.

Prior to this, Mr. Terry worked in the legal and operations departments of HypoVereinsbank, Citibank, N.A., and Bankers Trust. Mr. Terry graduated from the University of Vermont in 1991 with a Bachelor of Arts in Economics and earned his J.D. from the Boston University School of Law in 1995. Mr. Terry is a member of the New York State Bar Association.

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Serina Vash

Executive Director, Program on Corporate Compliance and Enforcement
New York University School of Law

Serina Vash is the Executive Director of the Program on Corporate Compliance and Enforcement at New York University School of Law.

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Mark Sangster

Vice President & Industry Security Strategist

As a member of the LegalSec Council with the International Legal Technology Association (ILTA), Mark is a cybersecurity evangelist who has spent significant time researching and speaking to peripheral factors influencing the way that legal firms integrate cybersecurity into their day-to-day operations.

In addition to his passion for cybersecurity, Mark’s 20-year sales and marketing career was established with industry giants like Intel Corporation, BlackBerry and Cisco Systems. Mark’s experience unites a strong technical aptitude, and an intuitive understanding of regulatory agencies. During his time at BlackBerry, Mark worked on the first secure devices for government agencies and has continued to build mutually beneficial relationships with regulatory agencies in key sectors ever since. Mark leads a team of savvy customer-focused marketers at eSentire.

Mark holds a Bachelor in Psychology degree from the University of Western Ontario, and a Business Diploma from Humber College.

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