Cyber Frauds & Cybersecurity for Financial Planners

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Cyber Frauds & Cybersecurity for Financial Planners

Reviewed

January, 2024

Dr. Robert Minniti

This course no longer qualifies for Continuing Educations Credits for these qualifications : CFP(US)

Learning Objectives

To analyze how criminals commit acts of cyber fraud.
To explain cybersecurity internal controls that will protect your company from cybercriminals.
To discuss the IRS cybersecurity recommendations for financial planners.

Course Description

Cybersecurity is like a virus that keeps evolving. Just when you think you've built a defense against one form of attack, cybercriminals evolve to invade your system from another point of entry. Now, with a human virus forcing financial advisors and their firms to work increasingly remotely, the risk of cybercrime rises exponentially.

The government requires financial planners to have documented internal controls in place to protect the personal information of the firm’s clients.

This CPE course is designed by speaker Robert Minniti for financial planners who collect and store clients’ personal information, and who would like to obtain an understanding of data and cybersecurity.

You have probably heard of some of the more common types of cybercrimes such as ransomware, spyware, computer viruses, phishing, vishing, spoofing, data breaches, denial of service attacks, hacking, etc.

This CPE webinar is designed to familiarize financial planners who are not information technology (IT) experts on data breaches, cybersecurity risks, and internal controls.

We will review the FTC requirements for securing client information. We will cover the material in a plain language, non-technical manner. We will cover what you need to know, but not how to write computer programs or code.

Major topics included:

Fraud losses
Data Breach laws by State
GRAMM-LEACH-BLILEY Act
Know Your Customer
Cybersecurity Risks, Risk Factors, and Risk Management
Phishing, Vishing, & Smashing
QR Code Scams
Malware
Ransomware
Data Breaches
Identity Deep Fakes
Basic Internal Controls
Virtual Private Networks
FTC Safeguard Rules

Here is the link to your interests: CPE Courses for Certified Information Technology Professional I CPE Courses for Certified Information Systems Auditor

Overview

Cyber fraud is growing

5 mins
Cubersecurity risk factors

21 mins
Phishing, Vishing & Smishing

39 mins
Learn about Malware

57 mins
Identity deep fakes

79 mins
Basic internal controls

85 mins

Webinar Qualifies For

2 CPE Credit of Information Technology for Certified Public Accountants (CPA-US)
2 General Credit of Information Technology for Accountant/Bookkeeper/Tax Professionals
2 CPE Credit of Cybersecurity for Certified Internal Auditors (CIA)
2 CPE Credit of Fraud Risk Assessment for Certified Fraud Examiner (CFE)
2 CPE Credit of Information systems for Certified Management Accountants (CMA)
2 CPD Credit of Risk management planning (incl. Life Insurance) for Personal Financial Specialist (PFS)
2 CE Credit of Risk Management for Chartered Financial Consultant (ChFC)
2 CPE Credit of Information Technology for Certified Government Financial Manager (CGFM)
2 CPD Credit of Cybersecurity for Certified Information Technology Professionals (CITP)
2 CE Credit of Risk Management for Retirement Income Certified Professional (RICP)
2 CE Credit of Risk Management for Financial Services Certified Professional (FSCP)
2 CE Credit of Risk Management for Wealth Management Certified Professional (WMCP)
2 CE Credit of Information Technology (inc. Excel) for Certified FP&A Professional (FP&A)
2 CE Credit of Risk Management for Chartered Advisor in Senior Living (CASL)
2 CPE Credit of Information Technology for Iowa Licensed Public Accountant (IA-LPA)
2 CPE Credit of Information Technology for Maine Licensed Public Accountant (ME-LPA)
2 CE Credit of Risk Management for Chartered Special Needs Consultant (ChSNC)
2 CPE Credit of Information Technology for Delaware Licensed Public Accountant (DE-LPA)

About Instructor

Dr. Robert Minniti

President, Minniti CPA LLC

Dr. Minniti is the President and Owner of Minniti CPA, LLC. Dr. Minniti is a Certified Public Accountant, Certified Forensic Accountant, Certified Fraud Examiner, Certified Valuation Analyst, Certified in Financial Forensics, Master Analyst in Financial Forensics, Chartered Global Management Accountant, and is a licensed private investigator in the state of Arizona. Dr. Minniti received his doctoral degree in business administration from Walden University, received his MBA degree and Graduate Certificate in Accounting from DeVry University’s Keller Graduate School of Management, and received his Bachelor of Science in Business Administration degree from the University of Phoenix. Dr. Minniti taught graduate and undergraduate courses in forensic accounting at DeVry University, Grand Canyon University, Kaplan University, Northwestern University, and the University of Phoenix.

He designed graduate and undergraduate courses for Grand Canyon University, Northwestern University, and Anthem College. He is a writer and public speaker. He has experience in forensic accounting, fraud examinations, financial audits, internal audits, compliance audits, real estate valuations, business valuations, internal control development, business continuation planning, risk management, financial forecasting, and Sarbanes-Oxley compliance work. Dr. Minniti is an instructor teaching continuing professional education classes for the American Institute of Certified Public Accountants, Compliance Online, CPE Link/CCH . AccountingEd, Global Compliance Panel, Clear Law Institute, CPE Solutions, Canopy CPE, The Institute of Management Accountants, the National Association of Valuators and Analysts, the Association of Certified Fraud Examiners, the Institute of Internal Auditors, and various state CPA Societies.

Additional Information

Duration

2 Hours

Course Level

Basic

Instructional Method

QAS Self Study

Pre-requisites

None

Advance Preparation

None

FAQ’s

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MY-CPE LLC, 1600 Highway 6 south, suite 250, sugar land, TX, 77478

MY-CPE LLC (Sponsor Id#: 143597) is registered with the National Association of State Boards of Accountancy (NASBA) as a sponsor of continuing professional education on the National Registry of CPE Sponsors. State boards of accountancy have final authority on the acceptance of individual courses for CPE credit. Complaints regarding registered sponsors may be submitted to the National Registry of CPE Sponsors through its website: www.NASBARegistry.org.

Ratings and Review

4.5

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Susan Schreiner, CFP® (US), EA

Great program. Excellent overview of cybersecurity needs. Well paced, lots of information, interesting presenter.

Stephanie Hancock, CFP® (US)

Everytime I participate in a cybersecurity presentation I learn something.This webinar was no different. It's a lot of dense information to wade through.