Breakout Session B #1 

Cyber Security is a cornerstone concern for enterprise wealth firms. The advisor and often their staff are the weak link in the security infrastructure. Never mind the investor-customer, who is in communication with the advisor’s officestaff. Describe and build a business model (not a technical one) that protects your home-office and field staff from bad cyber actors and threats. The model should look at who and what you want to safeguard; and what you can do when you need to mitigate overall and specific risks.   What are your biggest threat priorities and how will your plan be weighed to mitigate those risks? 
 

Breakout Session B #2

Ongoing monitoring of advisor transactions and behavior is core to your chosen profession. You are the defender of your firm's realm. The advisor and investor audience you oversee is vast and diverse. The breadth and speed of information is exploding. Data proliferation and expansion is your canary in the coal mine. The regulators are onlyadding to your oversight demands, and you and your team are doing more work than ever. What do you need to feel like you get your arms around your responsibilities in terms of oversight? Is it more people? More processes? More technology? Or more of all? How does data fit into the equation?  What do you see as the biggest areas of opportunity for your firm to streamline this, and to what extent do you see specific use of AI in that framework for you in the next 12 months?  How will you document that use of AI in your WSPs to provide regulatory support of your choice and practice?