Understanding the New SEC Cyber Compliance Rules for RIAs – AiK2 – 3.24.22

Overview:
Title: Understanding the New SEC Cyber Compliance Rules for RIAs
Date: Thursday, March 24, 2022
Time: 1:00 PM Eastern Daylight Time
Duration: 1 hour

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Summary:

Now On Demand.

Nothing is more important than safeguarding your clients’ investments/data and protecting the reputation you’ve built. In the new paradigm, RIAs will have to report on all cyber breaches which could quickly erode client confidence. We will lay out a simple plan to help you meet the new SEC rules, safeguard your clients’ investments/data, and protect your reputation – all while building a better firm for your employees and clients.

Jay Hummel, CEO of AiK2, will moderate a roundtable of industry experts to provide:

  • Insights into the new rules and regulations the SEC has mandated (with Will Bressman, President, RIA in a Box/ComplySci).
  • A clear vision for how technology can help you thwart hackers and comply with the SEC requirements (with Julian Makas, Chief Information Security Officer, RIA in a Box/ComplySci).
  • Insight into how you can protect your biggest asset, your firm (with Matt Tobia, EVP Insurance Operations, AiK2).
  • How RIAs can protect their biggest asset, their firm (with insights and expertise from Gregg Sartorius of AiK2).

Speakers:
Jay Hummel Jay Hummel CEO, AiK2; Partner Wealth Advisor Growth Network

Jay serves as CEO of AiK2 Insurance Services, with responsibilities as the general manager of the company. Jay also serves as the CEO of Wealth Advisor Growth Network (WAGN), a key partner to AiK2 Insurance Services. Prior to founding WAGN, Jay was a Senior Vice President and Head of American Century Investment’s Personal Financial Solutions Business. Jay was responsible for the strategic and executional oversight of teams serving 600,000 individual and small retirement clients with $40B in assets under management.

He is a former Managing Director of Envestnet, where he served as the Head of Strategic Initiatives and Thought Leadership. Wiley has published two of his books: Success and Succession and The Essential Advisor
Will Bressman Will Bressman President RIA in a Box/ComplySci

Will is the President of RIA in a Box/ComplySci. Originally, Will acquired RIA in a Box via a search fund (Rushmore Partners) with his business partner, GJ King.Earlier in Will’s career, he worked atLX.TV, a digital media content provider acquired by NBC Universal and Good Morning America.Will resides in Brooklyn with his wife, Lindsay and two kids. Will is on the board of the Hebrew Free Loan Society and is the treasurer of Ariva. Will holds an MBA from the Graduate School of Business at Stanford University and is a graduate of Harvard College magna cum laude with a degree in History.
Julian Makas Julian Makas Chief Information Security Officer RIA in a Box/ComplySci

Julian Makas is a successful leader and manager who has worked the entire spectrum of information technology helping corporations and SMBs attain their goals of implementing secure technology and systems. With over two decades of in-depth information systems exposure, he has extensive experience in analysis, design, development, and implementation of client-server and cloud based information systems, with a focus on information security on such topics as applications and network security, vulnerability assessment, testing and auditing, and risk assessment through network penetration testing.

As CISO, Julian has been brought in to continue the evolution of the strategic cybersecurity posture of this rapidly growing FinTech company. He is passionate about understanding and exploring the ever evolving threat landscape to build defensive cyber programs and defend from cyber risk. He and his team are experts in understanding the technological SEC and FINRA regulatory requirements that are unique to financial firms.
Matt Tobia Matt Tobia Executive Vice President Insurance Operations AiK2

Matt Tobia is a Co-Founder of AiK2 Insurance Services. He provides expertise on the insurance and process management aspects of the business. Prior to this role, he spent five years as an insurance broker with The McIntyre Group. In 2013, Matt joined KORE Insurance Holdings, LLC as Vice President, Commercial Lines, where he split his time between managing KORE’s Commercial Lines Division (the marketing/account management of both new and existing customers) and driving the strategic planning and growth of the company. Most recently, Matt is working on launching a start-up wholesale insurance brokerage focused on making insurance simpler. Matthew graduated from Muhlenberg College with a degree in Business Administration and earned an MBA in Finance from Fordham University.