Listen to our webinar “Tech Risk Issues for BD and RIA Chief Compliance Officers”


Join a panel of Treliant experts discussing the nuts and bolts of technology risk and what CCOs need to be doing in response to it.  No matter the size of your firm, technology risk issues are front and center for your regulators, your auditors, and your commercial partners and investors.  Securities Regulators expect CCOs to have strong compliance programs related to these critical issues.


  • Understand key cyber risks and how to mitigate and conduct testing.  Risks include: governance and program issues; access rights and security assessments; testing and monitoring; vendor risk and issue deification/escalation; and incident response;
  • Identify the impact on your organization as privacy rules and requirements continue to grow and expand globally, as well as at the state and local level.  Learn what data needs to be protected and what controls need to be implemented;
  • Explore what firms are currently doing to protect against employee data theft.  Data loss prevention continues to be a significant risk to firms as employees are able to access confidential and proprietary data from home; and
  • Learn about regulatory and investor expectations for disaster recovery and data redundancy programs, which continue to be significant risks to firms even during the pandemic.


Alan Halfenger (Moderator), Managing Director, Treliant

Gino Ercolino, Director, Treliant

Richard Hudson, Senior Manager, Treliant