The roundtable will begin at 9:30 a.m. and will be divided into four panels. Participants on the first panel will discuss the cybersecurity landscape. The second panel will discuss cybersecurity disclosure issues faced by public companies. Participants on the third panel will discuss the cybersecurity issues faced by exchanges and other key market systems. On the final panel, participants will discuss how broker-dealers, investment advisers, and transfer agents address cybersecurity issues, including those involving identity theft and data protection.
Agenda and Panelists
9:30 a.m. Opening Remarks
9:40 a.m. Panel 1: Cybersecurity Landscape
Moderators: Thomas Bayer, Chief Information Officer, Keith Higgins, Director, Division of Corporation Finance, James Burns, Deputy Director, Division of Trading and Markets
- Cyrus Amir-Mokri, Assistant Secretary for Financial Institutions, Department of the Treasury
- Mary E. Galligan, Director, Cyber Risk Services, Deloitte & Touche LLP
- Craig Mundie, Member, President’s Council of Advisors on Science and Technology; Senior Advisor to the Chief Executive Officer, Microsoft Corporation
- Javier Ortiz, Vice President, Strategy and Global Head of Government Affairs, TaaSera, Inc.
- Andy Roth, Partner and Co-Chair, Global Privacy and Security Group, Dentons US LLP
- Ari Schwartz, Acting Senior Director for Cybersecurity Programs, National Security Council, The White House
- Adam Sedgewick, Senior Information Technology Policy Advisor, National Institute of Standards and Technology
- Larry Zelvin, Director, National Cybersecurity and Communications Integration Center, U.S. Department of Homeland Security
10:40 a.m. Panel 2: Public Company Disclosure
Moderator: Keith Higgins, Director, Division of Corporation Finance
- Peter J. Beshar, Executive Vice President and General Counsel, Marsh & McLennan Companies, Inc.
- David Burg, Global and U.S. Advisor Cyber Security Leader, PricewaterhouseCoopers LLP
- Roberta Karmel, Centennial Professor of Law, Brooklyn Law School
- Jonas Kron, Senior Vice President, Director of Shareholder Advocacy, Trillium Asset Management LLC
- Douglas Meal, Partner, Ropes & Gray LLP
- Leslie T. Thornton, Vice President and General Counsel, WGL Holdings, Inc. and Washington Gas Light Company
11:40 a.m. Break
12:45 p.m. Panel 3: Market Systems
Moderator: James Burns, Deputy Director, Division of Trading and Markets
- Mark G. Clancy, Managing Director and Corporate Information Security Officer, The Depository Trust and Clearing Corporation (DTCC)
- Mark Graff, Chief Information Security Officer, NASDAQ OMX
- Todd Furney, Vice President, Systems Security, Chicago Board Options Exchange
- Katheryn Rosen, Deputy Assistant Secretary, Office of Financial Institutions Policy, Department of the Treasury
- Thomas Sinnott, Managing Director, Global Information Security, CME Group
- Aaron Weissenfluh, Chief Information Security Officer, BATS Global Markets, Inc.
1:45 p.m. Panel 4: Broker-Dealers, Investment Advisers, and Transfer Agents
Moderators: David Grim, Deputy Director, Division of Investment Management, James Burns, Deputy Director, Division of Trading and Markets, Andrew Bowden, Director, Office of Compliance Inspections and Examinations
- John Denning, Senior Vice President, Operational Policy Integration, Development & Strategy, Bank of America/Merrill Lynch
- Jimmie H. Lenz, Senior Vice President, Chief Risk and Credit Officer, Wells Fargo Advisors LLC
- Mark R. Manley, Senior Vice President, Deputy General Counsel, and Chief Compliance Officer, AllianceBernstein L.P.
- Marcus Prendergast, Director and Corporate Information Security Officer, ITG
- Karl Schimmeck, Managing Director, Financial Services Operations, Securities Industry and Financial Markets Association
- Daniel M. Sibears, Executive Vice President, Regulatory Operations/Shared Services, FINRA
- John Reed Stark, Stroz Friedberg
- Craig Thomas, Chief Information Security Officer, Computershare
- David G. Tittsworth, Executive Director and Executive Vice President, Investment Adviser Association
2:45 p.m. Closing Remarks
3:00 p.m. Roundtable concludes
Members of the public are welcome to submit comments on the topics to be addressed at the roundtable. Comments may be submitted electronically or on paper; please use one method only. Any comments submitted will become part of the public record of the roundtable and posted on the SEC’s website. Use the SEC’s Internet submissions form or send an e-mail to [email protected].