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K2 Integrity hosted “Navigating Internal Audit, Cyber Risk, and Regulatory Expectations in Broker-Dealer Operations,” a practical discussion on the intersection of internal audit, cybersecurity, and regulatory oversight in the broker‑dealer space, using real‑world case studies. During the session, participants gained insight into how audit, compliance, and technology teams can respond to evolving regulatory and cyber risks.
By the end of the webinar, attendees were able to:
- Identify the emerging risks shaping broker‑dealer internal audit priorities, including cyber‑enabled fraud, market‑integrity expectations, and growing third‑party dependencies
- Understand 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, with a focus on detection, escalation, and supervisory expectations across audit, compliance, and technology functions
The discussion featured Anthony Vinci, senior director, FINRA; KeriAnn Kelly, senior vice president, Platform Solutions Engineering, Goldman Sachs; Olivia Makara, director, Cyber and AI Resilience, K2 Integrity; and was moderated by Yelena Talmazan, senior managing director, Financial, Internal Audit, and Risk Advisory, K2 Integrity.