|5444||Cybersecurity for Mutual Fund Directors||30||Feb||2:00PM||3:00PM||February||Wednesday||14||2018||
Fund directors and trustees know the SEC has been focused on cybersecurity for several years now and it’s proven to be a continued and growing focus for the Commission. The initial alert and scramble to shore up processes and consider the findings of the SEC’s cyber security sweeps has largely calmed, but the storm rages on with new risks and threats by the minute. In this webcast, we’ll explore cyber security from the unique perspective of fund directors and trustees, including:
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|Forum Webinar Series||
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Partner, Investment Company Services
Shannon Behara joined ACA in 2005. As a Partner in the Boston office, she provides regulatory and compliance consulting services to investment companies, private funds, and investment advisers. She advises clients on designing, drafting, and implementing customized compliance programs. Shannon also performs mock examinations, procedural reviews, and customized forensic testing audits to evaluate compliance with federal securities laws. In her work, she specializes in the complexities of fixed-income markets and structured securities. As a prominent expert on compliance issues, she also speaks frequently at conferences and has provided content and comments to industry periodicals and publications.
Shannon began her regulatory career in 2001 as a Securities Compliance Examiner with the Boston District Office of the Securities and Exchange Commission. During her SEC tenure, she led or participated in examinations of investment companies, investment advisers, hedge funds, transfer agents, and variable insurance products. She also performed extensive work on several market-timing, late-trading, and directed-brokerage cases that involved close coordination with the SEC’s Division of Enforcement.
Prior to joining the SEC, Shannon served as a Senior High-Yield Analyst for Bridge Information Systems. During her time at Bridge and its predecessors, she performed analytical pricing and covenant analysis on a wide variety of fixed-income issues, including asset-backed debt, U.S. and Euro medium-term notes, and investment-grade and high-yield corporate debt.
Shannon earned her graduated from the University of Central Oklahoma with a Bachelor of Business Administration degree in Finance from the University of Central Oklahoma. She also holds a graduate certificate in Forensic Accounting from Northeastern University.
Askari J. Foy
Managing Director, Global Regulatory Cybersecurity
Askari J. Foy joined ACA in October 2017. As a Managing Director overseeing ACA Aponix’s Global Regulatory Cybersecurity practice, he leverages his expertise in cybersecurity, enterprise risk management, and regulatory compliance to assist in developing ACA’s regulatory cybersecurity compliance offerings.
Prior to ACA, Askari served for over 13 years with the U.S. Securities and Exchange Commission (SEC), where he was most recently Associate Director and Head of the National Technology Controls Program (TCP) with the SEC’s Office of Compliance Inspections and Examinations (OCIE). TCP conducts cybersecurity examinations of registered investment advisers, broker-dealers, national securities exchanges, clearing agencies, automated trading systems, and self-regulatory organizations to ensure compliance with federal securities laws.
As head of the TCP, Askari developed and implemented cybersecurity risk-based examination and surveillance strategies that promoted the importance of cybersecurity and IT governance structure among SEC registrants. He also contributed to the implementation of Regulation SCI, which focuses on technology infrastructure of the securities markets. Before that, he served as the senior officer of OCIE’s Atlanta Regional Office Examination Program and oversaw the examinations of over one thousand registered entities in five southeastern states to ensure compliance with federal securities laws.
Prior to the SEC, Askari worked at PricewaterhouseCoopers and Credit Suisse Asset Management in various management roles serving alternative asset management clients.
Askari earned his Bachelor of Science degree in Accounting from Point Park University and his Master of Business Administration degree in Executive Management from Emory University. He is a Certified Public Accountant and a Certified Fraud Examiner.
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