Month: April 2017

NYS DFS Cybersecurity Regulation Webinar 4/20/17: Presented by P&D’s Jack Hewitt and CohnReznick’s Jim Ambrosini

Posted on by Liam Mennitt

John R. Hewitt, Partner at Pastore & Dailey LLC, and Jim Ambrosini, Managing Director at CohnReznick Advisory, will be conducting a complimentary Webinar on Thursday, April 20, 2017 at 12:00 PM EDT.  Mr. Hewitt is recognized as a national authority in cybersecurity and Mr. Ambrosini is a leader in cybersecurity and technology assurance service offerings at CohnReznick.

Mr. Hewitt and Mr. Ambrosini will discuss the New York State’s Department of Financial Services (DFS) regulation, effective as of March 1, 2017, providing an overview of the regulation, a summary of what controls must be in place, how to implement controls using a risk-based approach, key DFS regulation issues, and how to develop a roadmap towards compliance.

Please join us for this Webinar on April 20, 2017 at 12:00 PM EDT by registering below:

https://event.on24.com/eventRegistration/EventLobbyServlet

NYS DFS Cybersecurity Regulation Webinar on April 20, 2017: Presented by Pastore & Dailey’s John Hewitt and CohnReznick’s Jim Ambrosini

Posted on by Liam Mennitt

John R. Hewitt, Partner at Pastore & Dailey LLC, and Jim Ambrosini, Managing Director at CohnReznick Advisory, will be conducting a complimentary Webinar on Thursday, April 20, 2017 at 12:00 PM EDT.  Mr. Hewitt is recognized as a national authority in cybersecurity and Mr. Ambrosini is a leader in cybersecurity and technology assurance service offerings at CohnReznick.

Mr. Hewitt and Mr. Ambrosini will discuss the New York State’s Department of Financial Services (DFS) regulation, effective as of March 1, 2017, providing an overview of the regulation, a summary of what controls must be in place, how to implement controls using a risk-based approach, key DFS regulation issues, and how to develop a roadmap towards compliance.

Please join us for this Webinar on April 20, 2017 at 12:00 PM EDT by registering below:

https://event.on24.com/eventRegistration/EventLobbyServlet

Broker’s U5 Overturned

Posted on by Liam Mennitt

Pastore & Dailey successfully argued for the correction of a bond trader’s Form U5 before a FINRA Arbitration Panel. This trader’s former employer, a worldwide banking institution, misrepresented the reason for the termination of his employment. Pastore & Dailey convinced the Panel to rule that the wording must be changed to reflect the reality. Contested expungement hearings are rare, and the re-writing of a U5 by a panel in such a situation is extraordinary. Pastore & Dailey is pleased that it could achieve this result, the correct result, for its client.