Exploring the Recent Amendments to Regulation S-P
-
Register
- Prices available after logging in
This webinar will explore the recent amendments to Regulation S-P, focusing on the rule revisions and providing practical tips for implementation. The session will also cover the critical role of incident management and the impact these regulations have on service providers.
Learning Objectives:
Participants will gain a comprehensive understanding of the changes to Regulation S-P and the necessary policies and procedures to implement before the effective dates.
Target Audience:
- Compliance Officers
- Operations Leaders
- Service Providers and Third-Party Vendors
- Legal Professionals
- IT Security and Risk Management Teams
- Training & Education Professionals
This program is hosted by the Nicsa Compliance and Risk Management Committee
CPE Credits Redeemable with NASBA
Nicsa is pleased to offer this webinar learning activity to attendees who are seeking CPE credits. 1 CPE unit may be available for attendees of this webinar. The webinar requires no advanced preparation, no pre-requisite study and is appropriate for all who have a basic understanding of the investment management industry.
Nicsa is registered with the National Association of State Boards of Accountancy (NASBA) as a sponsor of continuing professional education on the National Registry of CPE Sponsors. State boards of accountancy have final authority on the acceptance of individual courses for CPE credit. Complaints regarding registered sponsors may be submitted to the National Registry of CPE Sponsors through its website: www.learningmarket.org.
CPEs Earned: 1
CPE Field of Study: Regulatory Ethics
Program Level: Basic
Delivery Method: Group-Internet Based
Advanced Preparation: None
CE Credits Redeemable with Investments & Wealth Institute™ (IWI)
Nicsa is a registered sponsor with the Investments & Wealth Institute™ (IWI) for continuing education credits applicable to CIMA®, CPWA®, RMA®, and CIMC® certifications. This 60-minute webinar has been pre-approved by IWI for 1 CE credit.
To redeem your CE credit, you must self-report your participation by visiting the Investments & Wealth Institute™ website: https://investmentsandwealth.org. Following the conclusion of the webinar, please enter the program date, program ID, program title, and Nicsa as the sponsoring organization. Nicsa will not report your participation on your behalf.
The Investments & Wealth Institute™ has final authority on the acceptance of individual courses for CE credit. If you have any concerns or complaints regarding registered sponsors, you may submit them via the IWI website: https://investmentsandwealth.org/contact-us.
CPEs Earned: 1
Continuing Education Topic: Governance and Regulations - Applicable Regulations, Compliance, and Legal Implications.
Program Format: Live Webinar
CANCELLATIONS AND REFUNDS: Due to this program being offered free of charge, there will be no refunds issued. Questions or Cancellations: Please contact Lilly Bahmani at info@nicsa.org
Please note by registering for this webinar, you are consenting to Nicsa sharing your information with the sponsor of this webinar, who may subsequently contact you. You may unsubscribe from these communications at any time. For more information, check out our Privacy Policy
Stefanie Kutch
Director of Regulatory Compliance
SS&C
Stefanie Kutch is the Director of Regulatory Compliance for SS&C's Global Investor and Distribution Solutions, US. Ms. Kutch joined SS&C (formerly known as DST Systems, Inc.) in 1997 after earning a Bachelor of Business Administration degree from the University of Missouri-Kansas City. Ms. Kutch has spent her entire career developing extensive knowledge of the financial services industry, including transfer agency and regulatory compliance initiatives related to '40 Act funds.
Eric Russo
Regional Data Protection Officer
Franklin Templeton Investments
Eric is an attorney whose role at Franklin Templeton is as a Data Protection Officer in their Global Privacy Office. Eric's main focus is privacy issues in the Americas region, including state and federal privacy laws and regulations.
Kenn Kern
Executive Director, Legal and Compliance
Morgan Stanley
Kenn Kern is as an Executive Director on Morgan Stanley’s Tech & Data Legal team. In this role, Kenn advises the Investment Management Division on a wide range of data security and privacy matters.
Prior to joining Morgan Stanley, Kenn was a member of the Manhattan District Attorney’s Office where he served as Deputy Chief of the Cybercrime and Identity Theft Bureau, Special Assistant for International Relations, and Chief Information Officer. Kenn coordinated the New York City Cyber Critical Services and Infrastructure (NYC CCSI) project, an initiative focused on sharing real-time cyber threat intelligence, holding joint cybersecurity trainings, and deploying technical assistance across all of New York City’s sectors. Kenn is the recipient of the Robert M. Morgenthau Award from the District Attorney’s Association of New York State.
Kenn received his Juris Doctorate from the University of Texas School of Law and a Master of Arts in Government from Georgetown University. Kenn began his legal career at the International Criminal Tribunal for the Former Yugoslavia (ICTY) as a legal intern on the Slobodan Milošević trial, before serving as a federal judicial clerk in the Eastern District of Texas.
Kim Cookman (Pascalau)
Sr. Director Compliance, CCO Office
SS&C GIDS US
Kim Cookman is Sr. Director in the CCO Office for SS&C’s Global Investor and Distribution Solutions Division (GIDS) US. With over 26 years in the financial services industry, she holds extensive knowledge of transfer agent compliance and oversight, applicable federal, and state regulations. Kim has broad experience leading the execution of regulatory changes and controls in an operational environment, combined with fund board level communications.
Stephanie Tyler (Moderator)
Manager, US Transfer Agent Global Risk & Control Compliance
Franklin Templeton Investor Services, LLC
Stephanie Tyler has worked at Franklin Templeton for 29 years where she leads a team focused on transfer agent regulatory compliance oversight and risk management. She is an active member on many industry committees and currently serves as the chair of the nicsa Risk and Compliance Committee. She held previous roles in project and system management focused on transfer agent technology.
Key:
Complete
Next
Failed
Available
Locked