Cybersecurity For Retirement Plans – MainStay Investments – 5.22.18


Now On Demand.</span.

Cybersecurity is a critical risk facing all industries, including retirement plans. Plan sponsors need to implement a prudent process and ongoing assessments to reduce liability. Plan fiduciaries and service providers should have cyber protocols and practices in place BEFORE a cyber breach. Furthermore, service providers should have an efficient way to provide plan sponsors with assurance of cybersecurity management and best practices.

This presentation seeks to address different types of cyber breaches and provides a framework to navigate and evaluate risk in: data, technology, and service provider management and people/issues training.

Sponsors of this webcast may contact registrants. This webcast is for financial professionals only.


Stephen M. Saxon
Groom Law Group
Stephen Saxon works on a wide variety of administrative, litigative, and legislative matters involving tax‐ exempt organizations and ERISA. He specializes in matters relating to Title I of ERISA, with respect to which he has obtained scores of advisory opinions and exemptions. Stephen also represents tax‐exempt clients in IRS audits and appeals procedures, as well as in restructuring non‐profit organizations to address unrelated business income tax and other issues. In addition, he has worked on numerous Department of Labor audits of plans and financial institutions that service plans.

Stephen heads up the firm’s special practice groups on pension plan investments and on 401(k) plan administrative and investment management matters. Among other things, these groups focus on the ERISA, securities, banking, and tax issues that arise in connection with the offering of products to employee benefit plans.

Dana R. Hartwell, AIF®
Director, Head of DCIO Sales
New York Life MainStay Investments
Dana Hartwell is head of DCIO Sales. He joined MainStay Investment’s Institutional channel in 2015. Previously, Dana’s experience includes Hartford Funds, Natixis Global Asset Management, Fidelity Investments and Charles Schwab & Co. Dana earned his BA in History at Sonoma State University. He has over 21 years of experience in the financial services industry and holds an AIF designation.


Title: Cybersecurity For Retirement Plans
Date: Tuesday, May 22, 2018
Time: 1:00 PM Eastern Daylight Time
Duration: 1 hour

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