April 20th Conference Call Presentation on Technology Security Oversight for Non-IT Professionals
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March 26, 2010
TO: COMPLIANCE ADVISORY COMMITTEE No. 4-10INTERNAL AUDIT ADVISORY COMMITTEE No. 3-10
RISK MANAGEMENT ADVISORY COMMITTEE No. 4-10
RISK MANAGEMENT COMMITTEE No. 6-10
SEC RULES MEMBERS No. 25-10
SMALL FUNDS MEMBERS No. 19-10 RE: APRIL 20th CONFERENCE CALL PRESENTATION ON TECHNOLOGY SECURITY OVERSIGHT FOR NON-IT PROFESSIONALS
Technology security continues to be a topic of increasing business and regulatory focus. While in the past this may have been a topic handled largely, if not exclusively, within IT departments of mutual fund complexes, today it is not uncommon for non-IT professionals to have some oversight responsibility for the firm’s technology security. Compliance professionals, for example, may be tasked with ensuring, as part of a firm’s annual compliance review, the firm’s security complies with regulatory requirements such as Reg. S-P.
To provide persons outside the IT Department who may have oversight responsibilities an overview of current technology security issues and concerns, the Institute is sponsoring a conference call on Tuesday, April 20th from 2-3pm (Eastern time) on the topic, “Technology Security Oversight for the Non-IT Professional: What Traps May be Lurking for the Unwary.” The call will provide an overview of the various vulnerabilities presented by technology, the additional security issues that arise from mobile devices such as PDAs and iPhones, the threat of social engineering, how service providers may present weak links in the security chain, and what red flags may be an early warning system for legal, compliance, and risk personnel with oversight responsibilities.
The presenter for the call will be Carl Herberger, an information security expert who has many years of experience working with our industry and others to address security concerns. Persons participating in the call will be provided a slide deck in advance of the call. They will also be able to submit questions (without attribution) to Mr. Herberger before or during the call via email to tamara@ici.org. The last 15 minutes of the conference call will be devoted to answering the questions submitted.
Members interested in participating in the conference call should contact Gwen Kelly for the call-in information no later than Friday, April 16th. Ms. Kelly may be reached by phone (202-326-5818) or email at gwen.kelly@ici.org. If you have any questions about the call, please contact the undersigned by phone (202-326-5825) or email (tamara@ici.org).
Tamara K. Salmon
Senior Associate Counsel