Join K2 Integrity for a practical discussion on the intersection of internal audit, cybersecurity, and regulatory oversight in the broker-dealer space using real-word case studies. By the end of this session, you will be able to:
- List the emerging risks shaping broker-dealer internal audit priorities, including cyber-enabled fraud, market-integrity expectations, and growing third-party dependencies.
- Describe FINRA supervisory and examination expectations, including how firms can use regulatory reports to inform audit priorities and align audit focus with regulatory risk.
- Discuss best practices for audit planning, risk management, and compliance programs in a rapidly evolving cyber and regulatory environment.
- Examine cyber-enabled fraud risks through a regulatory lens, focusing on detection, escalation, and supervisory expectations across audit, compliance, and technology functions.
Don’t miss this opportunity to hear from Anthony Vinci, senior director, FINRA; KeriAnn Kelly, senior vice president, Platforms Solutions Engineering, Goldman Sachs; Olivia Makara, director, Cyber and AI Resilience, K2 Integrity; and moderator Yelena Talmazan, senior managing director, Financial, Internal Audit, and Risk Advisory, K2 Integrity.
*This webinar provides continuing professional education (CPE) credit.
Delivery method: Group internet based
Recommended CPE credits: 1
Field of study: Specialized knowledge
Program level: Overview
Program prerequisites: None
Advanced preparation needed: None
Cancellation policy: There is no fee for participants cancelling their registration. If a webinar is cancelled for any reason, participants will be alerted via email.
Complaint resolution policy: For more information on our complaint policy, please contact Marketing Manager Sabine Reedy at [email protected] or +1 646 292 1823.
K2 Integrity is registered with the National Association of State Boards of Accountancy (NASBA) as a sponsor of continuing professional education on the National Registry of CPE Sponsors. State boards of accountancy have final authority on the acceptance of individual courses for CPE credit. Complaints regarding registered sponsors may be submitted to the National Registry of CPE Sponsors through its website: www.nasbaregistry.org.