Join K2 Integrity for a practical discussion on the intersection of internal audit, cybersecurity, and regulatory oversight in the broker-dealer space using real-word case studies. By the end of this session, you will be able to:
- List the emerging risks shaping broker-dealer internal audit priorities, including cyber-enabled fraud, market-integrity expectations, and growing third-party dependencies
- Describe FINRA supervisory and examination expectations, including how firms can use regulatory reports to inform audit priorities and align audit focus with regulatory risk
- Discuss best practices for audit planning, risk management, and compliance programs in a rapidly evolving cyber and regulatory environment
- Examine cyber-enabled fraud risks through a regulatory lens, focusing on detection, escalation, and supervisory expectations across audit, compliance, and technology functions
Don't miss this opportunity to hear from Anthony Vinci, senior director, FINRA; KeriAnn Kelly, senior vice president, Platforms Solutions Engineering, Goldman Sachs; Olivia Makara, director, Cyber and AI Resilience, K2 Integrity; and moderator Yelena Talmazan, senior managing director, Financial, Internal Audit, and Risk Advisory, K2 Integrity.
Date: 25 March 2026
Time: 12:30–1:30 pm ET
Location: Virtual