AltsOps Digital - 2023 SEC Cyber Regulatory Rules

What Every SEC Registrant Needs to Know

Thursday May 25th, 2023 – Online | 4.30pm - 5pm BST / 11.30am - 12pm EST

Over a year ago, the SEC first issued proposed rules relating to cybersecurity risk management for registered investment advisors and funds. Whilst After a year of review and debate, some of the rules are known, many aren’t, and in March this year, it the SEC re-opened the comment period through the end of May 2023, which has only served to add to the confusion related to what the new rules are entail, and to whom they apply.

AlphaWeek’s 2023 SEC Cybersecurity Regulatory Rules: What Every SEC Registrant Needs to Know webinar, sponsored by leading cybersecurity consulting firm BW Cyber, will provide you with everything you need to understand the SEC’s new rules – both actual and proposed. Additionally, we’ll help you to understand what these rules will mean to your investment management firm – and how compliance to these rules may or may not impact your business financially.

Talking Points

- The new cybersecurity rules and what they mean

- The main impacts of these rules on SEC registrants

- The financial impact on SEC registrants

- What registrants need to do to comply with the rules

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Speakers

Speaker: Michael Brice: Founder, President, BW Cyber

Michael Brice

Michael Brice is the Founder and President of BW Cyber, as well as the Lead for the firm’s Virtual Chief Information Security Officer (vCISO) service offering. In this capacity, he is in constant demand for various CLevel and related strategic engagements that vary from in-person Private Equity Portfolio offsites speaking engagement focusing on critical CEO and CFO cybersecurity risks, to long-term vCISO outsourcing for highly regulated financial services organizations that do not possess in-house cyber competency.

Michael also maintains strong professional relationships with multiple commercial, financial, and governmental organizations – the most notable of which is his personal relationship with senior special agents from the FBI’s financial cyber division in New York City. In this capacity, he has presented in-tandem with the FBI on multiple public and private executive panels and related speaking events. Relatedly, as the Lead for the firm’s Financial Digital Forensics and Incident Response services, he maintains an on-going relationship with the FBI in which he can immediately involve highly specialized government assistance for critical client cyber incident/breach activities that are time-sensitive or highly impactful from a financial perspective (e.g., wire fraud, critical data loss, or ransomware).

Speaker: John Lukan: Managing Director, SEC3 Compliance Consultants

John Lukan

Mr. Lukan has been with SEC3 since February 2008. His clients include some of SEC3’s most diverse and complicated SEC registrants and has prepared and guided numerous clients through successful SEC examinations. Mr. Lukan also serves as Outsourced CCO for several firms.

Prior to joining SEC3, Mr. Lukan held senior management roles with several regulated firms within the investment management industry. Immediately prior to joining SEC3, Mr. Lukan served as Chairman of the Board of Directors of Penn Street Mutual Funds. Mr. Lukan also served as director to Valley Forge Capital Advisors, Inc. (“VFCA”), a quantitative focused, SEC-registered investment adviser and was a member of the firm’s investment committee. Prior to VFCA, Mr. Lukan spent thirteen years with The Citco Group, the last five as Managing Director and Head of Citco’ US regulated entities including its SEC-registered investment advisers, broker dealers and transfer agent.