What you need to know about Technology, Compliance, and Cyber Security – but didn’t know to ask!

  • Wednesday, January 25, 2017
  • 3:00 PM - 6:30 PM
  • The Beatitudes Campus of Care, Life Center, 1610 W Glendale Ave


  • Timely RSVP deadline is generally the Friday prior to the meeting
  • Timely RSVP deadline is generally the Friday prior to the meeting
  • Timely RSVP deadline is generally the Friday prior to the meeting
  • Please contact the administrative office at 480-483-9035 or email admin@fpaofphoenix.org for the registration code
  • Timely RSVP deadline is generally the Friday prior to the meeting

Registration is closed

Cyber Security Workshop, produced in cooperation with the Phoenix Compliance Round Table.


Facilitated Workshop, with content specific to 2 different stakeholder groups within the financial planning profession

1) Business Practice and Firm Owners and Partners, Broker Dealers, RIA’s, Chief Compliance Officers (CCO’s)

a. Delivery will be through a story board approach designed to stimulate dialogue with attendees and facilitators. Three Cyber Security cases will be examined, showcasing a level 1, level 2, and level 3 hack/attack, and illustrating how those hacks could have been if not prevented, at least mitigated.

2) Financial Planning practice professionals (non-owners)

a. Delivery will be through a cyber security audit process, with each attendee using their own cell phone, tablet, and/or laptop as a full scale practical use audit is covered.

Learning Objectives:

Business owners will leave the workshop able to:

  1.  identify the most likely threats to their client’s data security,
  2.  understand the legal, compliance, and business implications of those threats, 
  3. receive and review policy, process, and compliance solutions ready for immediate implementation in their office,
  4.  evaluate the potential dollar, time, and credibility cost of a security breach, and 
  5. explore innovative practices to reduce/minimize the likelihood and severity of a breach.

Business owners who enroll their financial professionals/employees in this workshop will benefit from an immediate cyber security awareness training and audit for their staff, reducing significantly one of the top three threats to their clients' data.

Financial Planning Employees will leave the workshop better able to protect their employer and client data from cyber security attacks.

 They will:

  1. become aware of their individual impact on the security of their clients’ data, 
  2. prepare to alter their personal habits for daily access to their work products through their cellphones, tablets, and laptop computers,
  3. understand the vulnerability of passwords and identify best practices for passwords, 
  4. understand data encryption options, and 
  5. review common tactics used by hackers to gain access to secure data through their actions.

Workshop Leaders:

Business Practice and Firm Owners’ Workshop:

a. Christina Hamilton of Shartsis Friese LLP – the legal issues raised

b. Justin Patrick, Founder/Owner, the Virtual Office Global - IT and compliance issues raised

c. Maureen Rzeppa, MRA Associates - Compliance issues and business implications raised

Financial Planning Professionals/employees

a. Craig Morningstar, DWA

Approved for 2 hours of CFP(R) and AZ State Department of Insurance Continuing Education 

Networking mixer to follow Workshop conclusion at 5:30 pm

FPA of Greater Phoenix
c/o Premium Organization
PO Box 4130, Scottsdale AZ 85261
Email Us: info@fpaofphoenix.org

Office Hours:
Mon-Thurs: 9:00AM - 5:00PM
Fri: 9:00AM - 1:00PM
Phone: 480-483-9035
Fax: 480-922-5283

Connect with Us!

Website Development by Financier SEO - a digital marketing agency focused on helping financial advisors and planners excel with digital campaigns.  We are proud of our ongoing relationship with FPA of Greater Phoenix.