Cyber Security Best Practices for Brokerage Firms in 2015

James R. Burns is a partner in Willkie’s Asset Management Group, focusing on counseling investment managers, broker-dealers, self-regulatory organizations, and other registered entities on regulatory, compliance and enforcement matters. Prior to joining Willkie, Jim served most recently as Deputy Director of the SEC’s Division of Trading and Markets and previously as Deputy Chief of Staff and Counsel to Chairman Mary Schapiro.  He was an adviser to Commissioner Kathy Casey and worked for many years on enforcement and regulatory matters in the securities practice at a leading law firm.  He brings an acute knowledge and understanding of the equity, fixed income, and derivatives markets, having played an integral role in the development of current SEC positions and regulatory initiatives affecting those areas. Through his experience, he  is able to provide clients, including asset managers, broker-dealers, and other registrants -- with insights into current issues in SEC examination and enforcement contexts, as well as strategic advice on the effects of SEC initiatives on their business operations and compliance programs.

Jerry Ferguson serves as Co-Leader of BakerHostetler’s national Privacy and Data Protection team and the New York office Coordinator for the Intellectual Property, Technology and Media group. Pursuing his clients’ interests has given Jerry extensive experience protecting and exploiting intellectual property, technology and new media assets. His diverse experience includes designing privacy and data protection compliance programs, responding to data security breaches, developing intellectual property portfolios, negotiating transactions and successfully trying cases. His clients include banks, insurers, global retailers, luxury goods companies, web-based marketers and data analytics companies. He is a regular contributor to BakerHostetler's Data Privacy Monitor blog and has authored numerous published articles. Jerry frequently speaks before client and industry groups, such as the Mortgage Bankers Association, the Advisen, ExecuSummit, the National Association of College and University Attorneys, Practising Law Institute, and the New York State Bar Association.