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Independent Broker Dealer Consortium


Date: November 8, 2023
Time: 2:00 pm
Duration: 1 hour
Where: Zoom Screen From the Comfort and Safety of your home (Eastern Time).
Past Webinar

We have all heard the statistics about the cybersecurity breaches occurring every minute of every day and its impact on businesses.  The probability is great that your business with suffer a cyber security breach one day.  During this webinar, you will learn how to respond to the inevitable breach from experts in the cybersecurity community.

Paul Horn

Paul Horn has previously served as a Chief Information Security Officer within an Independent Broker Dealer and experienced the first regulatory sweeps for Cybersecurity within the industry as well as numerous follow up exams.  Paul is knowledgeable on various cybersecurity requirements such as the New York Department of Financial Services (NYDFS) Cybersecurity regulation as well as Colorado and Vermont’s and the Payment Card Industry, Data Security Standard (PCI-DSS).

Laxmi Ramanath

Laxmi Ramanath is the Founder and CEO of La Meer Inc., which helps organizations address the regulatory challenges of financial institutions with the state of the art, web-tablet-mobile enabled modular yet integrated GRACE solutions. This is an invaluable tool to build a comprehensive oversight process based on NIST and other best practice frameworks. With each State mandating different rules and regulations concerning cyber preparedness and a firm’s requirements in the event of a breach, this could be a useful approach.

Patrick Cox

Patrick Cox is a Bates consulting and testifying expert in the areas of retail securities, investigations, cybersecurity, privacy and compliance.  Prior to joining Bates, Patrick was Executive Vice President and General Counsel for Advice, Litigation and Regulatory Strategy with LPL Financial.

Lilian A. Morvay, JD

Lilian has over 30 years of legal, insurance and risk management experience in the professional liability arena, with a specific focus on Independent Broker-Dealers and RIAs. Lilian works exclusively with IBDs and RIAs in the placement of customized E & O, cybersecurity, fidelity, D & O and fiduciary insurance.

As a litigator, insurance claims director, underwriter, and insurance broker, Lilian has developed a deep understanding of this industry, which she has parlayed into the development of IBDC-RIAC. IBDC-RIAC is an organization comprised of security defense law firms, compliance, cybersecurity, cryptocurrency, ERISA and insurance consultants, the “Member Firms”, that work collaboratively to defend and support IBDs and RIAs. IBD and RIA members have access to complimentary hotline services, seminars, webinars and an annual risk management conference, provided by the IBDC-RIAC Alliance Members. The distinguishing feature of IBDC-RIAC is the high level of expertise among the Alliance Member Firms and their willingness to work together in concert for the benefit of IBDs and RIAs.

During this webinar, you will learn:
What new cybersecurity State and Federal Rules and Regulations have been promulgated and proposed and how to comply with these new rules.
What does a cybersecurity breach response strategy entail? Each State has its own set of rules governing cyber breach responses. How do you manage an incident before it even happens?
Communication is key for your Reps/and Advisors' as well as for their clients. How does a BD or RIA manage communication and its reputation post breach?
What to expect from your cybersecurity insurance carrier in case of a breach.
Bates Group will provide a 10% discount to attendees for any service purchased within 30 days of the webinar, which includes annual reviews.

La Meer can offer a 10% discount on the GRACE software pricing for the first 10 customers who sign up from the webinar, for their annual license for their first year of use, with a discount coupon of IBDC_GRACE_IT_RISK_2023

H2Cyber is pleased to offer a discount for the SaaS based Risk Assessment to Member Firms and Small RIAs that sign up within 30 days of the webinar as follows:
15% for those that sign up for our Self Service offering
30% for those that sign up for our Full Service offering

Our panel members include:

Paul Horn

Paul Horn

Founder and CEO - H2Cyber

Lilian A. Morvay

Principal and Founder of IBDC-RIAC
Laxmi Ramanath

Laxmi Ramanath

Founder and CEO La Meer Inc.
Patrick Cox

Patrick Cox

Expert Witness and Consultant - Bates Group
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