The Financial Regulation of the Third Platform - the cloud, Big Data, Social Media and Mobile Devices

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This program will present practical guidance on complying with the complex SEC, CFTC, FTC and state regulations for broker-dealers and investment advisors in their use of the cloud, big data, social media and mobile devices in the financial markets.  This will include an analysis of all cybersecurity requirements as well as a review of the focus areas of the 2015 SEC OCIE Cybersecurity Examination.  The latter will involve a discussion of risk assessment, access control, data loss prevention, vendor management, training and incident response.

The program’s expert panel will also review actual regulatory problems encountered by BDs and RIAs in their use of these technologies and effective ways to resolve them.

These issues and many others are also addressed in the soon-to-be published Bloomberg BNA Portfolio: The Financial Regulation of the Third Platform – the Cloud, Big Data, Social Media and Mobile Devices.

Educational Objectives:
• Gain a genuine understanding of the various SEC, CFTC, FTC and other regulations relating to the use of the Cloud, Big Data, Social Media, and mobile devices in the financial markets and appropriate procedural mechanisms to address them
• Learn from experts discussing actual problems experienced by comparable firms in the industry along with appropriate ways to resolve them, and learn how to avoid these difficulties by, among other things, securing detailed and timely intelligence about current breaches
• Receive relevant models, outlines and compilations including a schedule of all state data breach notification laws, a model Data Breach Notification Letter, an outline for an Incident Response Plan and a detailed summary of the NIST Cybersecurity Framework.

Who would benefit most from attending this program?
In-house counsel, compliance officers, CIOs, CISOs and senior management at broker-dealers, investment advisors and regulated funds.



Mr. Jack Hewitt is the author of the Bloomberg BNA Portfolio, Cybersecurity in the Federal Securities Markets, as well as the soon to be published BBNA Portfolio, The Financial Regulation of the Third Platform – the Cloud, Big Data, Social Media and Mobile Devices.  He is also the Co-Chair of the ABA Business Section White Collar Crime Sub-Committee on Cybersecurity.  Mr. Hewitt focuses his practice on securities litigation and regulatory advice and counsel to broker-dealers, investment banks and investment advisors.  His work has involved virtually every aspect of the federal and state securities laws. Cybersecurity is a major part of Mr. Hewitt’s practice, and he is a recognized national authority in this field.  In addition to his writing, Mr. Hewitt is a frequent speaker on this subject at such events as Practicing Law Institute and Securities Industry and Financial Markets Association seminars.


Mr. Tim Ryan is a managing director based in New York where he leads Kroll’s Cyber Investigations practice.  Prior to joining Kroll, Tim had a distinguished career as a Supervisory Special Agent with the Federal Bureau of Investigation (FBI), where he supervised the largest cyber squad in the United States. An expert in responding to all forms of computer crime, attacks and abuse, Mr. Ryan has led complex cyber investigations involving corporate espionage, advanced computer intrusions, denial of service, insider attacks, malware outbreaks, Internet fraud and theft of trade secrets. Mr. Ryan also served as acting director of the FBI’s New Jersey Regional Computer Forensics Lab, one of the nation’s largest, state-of-the-art digital forensic laboratories. As a member of the FBI’s elite Computer Analysis and Response Team, Tim also conducted numerous computer forensic examinations.


Mike Ryan is the Chair of the Information Technology and Outsourcing Practice at Kelley Drye and has been named as a leading practitioner in Technology Outsourcing by US Legal 500.  Mike focuses his practice on a variety of complex transactional matters in the technology (IT) and business process outsourcing (BPO) industries.  Mr. Ryan’s experience encompasses IT and BPO transactions; agreements for the development and deployment of software and infrastructure; intellectual property licensing transactions; resale and distribution agreements; and mergers, acquisitions, joint ventures/strategic alliances and equity investments.  Mr. Ryan has particular experience advising clients on transactions with an international scope, including working with Kelley Drye’s closely affiliated office in Mumbai, India. Alysa Hutnik Alysa Hutnik is a partner in the firm’s Washington, D.C. office. Her practice includes representing clients in all forms of privacy, data security, and advertising matters, from counseling to defending clients in FTC and State Attorneys General investigations and litigation. Many of her matters focus in particular on emerging technologies, including cloud, mobile, calling/texting practices, and “Big Data”-related services. She is ranked as a leading practitioner in the Privacy & Data Security area by Chambers USA, Chambers Global, and Law360.  Ms. Hutnik is a frequent speaker on national television news regarding legal privacy and technology related developments, including appearances on Fox Business News.  She is a past chair of the ABA’s Privacy and Information Security Committee (Section of Antitrust Law), the co-chair of the Section’s 2011 Consumer Protection Conference, and was the editor-in-chief of the ABA’s Data Security Handbook, a practical guide for data security legal practitioners.