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What will you learn about?

Like other issues that may impact dealer members as well as the financial services industry as a whole (like money laundering), the policies and procedures related to cybersecurity and privacy matters are not just an issue for the compliance department to worry about and manage. Given the interaction of investment advisors, mutual fund sales representatives, and sales assistants as front-line staff with clients, registrants and dealer members are uniquely positioned to play a critical role in the detection and mitigation of cybersecurity and privacy issues. This compliance refresher will support registrants and dealer members in identifying cybersecurity and privacy threats and help them to avoid falling victim to the perils that accompany such threats.

What is the course syllabus?

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Lesson 1: Overview of Cybersecurity and Privacy

Topics covered in this chapter are:

  • Background on Cybersecurity
  • Background on Privacy
  • Why Cybersecurity is a Threat to the Investment Industry

Lesson 2: Regulatory Requirements

Topics covered in this chapter are:

  • Historical Background on CIRO’s Approach to Cybersecurity
  • CSA Guidance
  • Notification of privacy breaches

Lesson 3: Creating and Implementing a Cybersecurity Regime

Topics covered in this chapter are:

  • Cybersecurity best practices
  • Governance and risk management framework
  • Training and written policies
  • Vendor management
  • Cyber insurance

Lesson 4: Compliance Considerations

Topics covered in this chapter are:

  • Specific Cyber Issues for Consideration
  • Compliance Considerations