Cheat Sheet: SEC Cybersecurity Guidance

Our Mission is to bridge the knowledge gap between law and technology professionals by educating attorneys on technology to attorneys and technology executives on its laws and regulations. Legal Cyber Academy provides a comprehensive tool and evolving knowledge base through exclusive insights from world class cybersecurity, privacy, web 3.0, forensic, and e-discovery legal and technical practitioners. Earn CLE, CPE, and CE credits. (Refunds are available if you do not receive credit) At Legal Cyber Academy We recognize that technology, the cybersecurity threats it faces, and relevant laws and regulation are rapidly evolving, presenting unique challenges and opportunities. Our platform is dedicated to empowering legal professionals with the skills and understanding necessary to navigate the complex landscape of technology in their field, enabling them to effectively advise clients, draft contracts, and navigate legal implications in a technology-driven world. Simultaneously, we strive to equip technology professionals with the legal knowledge they need to make informed decisions, ensure compliance with regulations, and limit liability. By fostering a deep understanding of legal frameworks, we hope to support technology professionals in creating innovative, compliant, and socially conscious technological advancements. Join us in our mission to reshape the way legal professionals and technology experts understand and interact with each other in a rapidly changing technical and legal landscape. Together, they will mitigate risk better, ensure compliance, and actively shape the future of technology and its accompanying laws.

Danie Garrie, Esq., is the Co-Founder of Law & Forensics LLC, where he heads the Computer Forensics and digital discovery Cybersecurity teams. Daniel has been a dominant voice in the computer forensics and cybersecurity space for the past 20 years, as an attorney and technologist. He is an adjunct professor at Harvard for Computer Forensics, and prior to Law & Forensics, he successfully built and sold several technology start-up companies. Since co-founding Law & Forensics LLC in 2008, Daniel has built it into one of the leading boutique firms specializing in cybersecurity and forensic engineering. He is a mediator, arbitrator, and e-discovery special master for JAMS and is a partner and head of Cybersecurity practice at Zeichner, Ellman & Krause LLP. Daniel earned both a Bachelor’s and a Master’s degree in computer science from Brandeis University, as well as a J.D. from Rutgers Law School. Daniel has led cyber and forensic teams in some of the most visible and sensitive incidents in the United States. He and his team have worked globally for two of the top five banks and dozens of the largest private and public companies in the world. In addition, Daniel has been awarded several patents for advanced cybersecurity and forensic platforms he built with his team, including TableTop.AI, CustodyTrack.IO, and Forensic Scan. Daniel is also well-published in the cybersecurity space and has authored more than 200 articles and books. His work is cited by Black’s Law Dictionary 10th Ed. defining the terms 'software', 'internet', and 'algorithm'. Lastly, he has been recognized by several United States Supreme Court Justices for his legal scholarship and is a trusted source and thought leader for cybersecurity articles and opinions, cited over 500 times to date.

Haima Marlier is co-chair of Morrison Foerster’s Securities Litigation, Enforcement, and White Collar Defense Group and co-lead of its Fintech practice. Drawing on her experience as a former Securities and Exchange Commission Senior Trial Counsel, Haima represents public and private companies, financial services providers, and individuals in SEC, CFTC, Financial Industry Regulatory Authority (FINRA), and internal investigations, as well as other related litigation. She has extensive experience litigating in federal, state, and administrative courts, leading complex negotiations, and representing her clients in mediation. She also routinely counsels clients regarding, and is a speaker on, SEC enforcement developments, trends, and enforcement risk mitigation. Haima joined the firm after nine years at the SEC’s New York office, which bears responsibility for regulating the largest concentration of SEC-registered financial institutions in the nation. While at the SEC, Haima served as lead counsel on a number of prominent enforcement litigations and investigations involving public companies, registered investment advisers, broker-dealers, banks, and individuals in matters arising under the federal securities laws. She has also worked closely with foreign securities regulators, numerous U.S. Attorney’s Offices, and FINRA. Haima serves on the Board of Trustees of the SEC Historical Society, a non-profit dedicated to preserving the knowledge and history of financial regulation; mentors Penn State students of color who aspire to become lawyers; and is a member of the Board of Directors of, and a volunteer running coach for, Girls on the Run New Jersey, a nonprofit dedicated to inspiring girls to recognize their inner physical and emotional strength. She maintains an active pro bono practice. Haima has been recognized by Crain’s New York Business’ Notable Women in Law and Notable Diverse Leaders in Law; Legal 500 USA as a recommended lawyer in Securities Litigation: Defense, Investigations and White Collar Criminal Defense, and Fintech; and the New York Law Journal for her efforts in the diversity and inclusion space.

David Cass recently joined Law & Forensics LLC as a Senior Partner. He leads the Cryptocurrency and Digital Banking Practice. David is also a member of the Cyber Security and Forensics Practice. He has extensive experience in financial services regulation, cryptocurrency, digital assets, blockchain, cloud, artificial intelligence, and digital banking. David recently served as a lead regulator for the Federal Reserve Bank of New York, where he was a member of the Large Institution Supervision Coordinating Committee. Before his appointment, David was the CISO & Global Partner of Cloud Security Services. In that role, he had global responsibility for all aspects of cloud security practices, processes, and policies across the IBM Security Services Unit. Mr. Cass served as a regulatory SME and an Executive Steering committee member for IBM’s International Banking Customers. David has been an active contributor to the FS-ISAC and the European Banking Federation on Cloud Compliance and Security for financial services firms and worked closely with U.S. and International Regulators. David and his team have also led large-scale transformation projects at top international financial institutions. He was part of the team that introduced the first financial services blockchain initiative utilizing the public cloud supported by ten major international banks. Previously Mr. Cass served as the SVP & Chief Information Security Officer for Elsevier. He led an organization of experienced legal, risk, and security professionals that provided data protection, privacy, security, and risk management guidance globally for Elsevier. He also served as the HIPAA officer for Elsevier. David has over 4.5 years of experience running a regulated FTSE 100 enterprise in the cloud. David has experience in IT security, risk assessment, risk management, business continuity, and disaster recovery, developing security policies and procedures. He has played a vital role in leading and building corporate risk & governance and information security organizations in the financial sector. As the Senior Director of Information Security Risk and Governance for Freddie Mac, David rebuilt the risk and governance function. He developed a team to provide risk assessments, methodologies, tools, services, and training to improve the organization’s capabilities and maturity. Before that, he was Vice President of Risk Management for JPMorgan Chase. He was responsible for providing an accurate assessment of the current risk management state, contributing to the future direction of the organization’s risk management, continuity, and disaster recovery capabilities. Cass earned his Master of Business Administration (MBA) from the Massachusetts Institute of Technology and his Master of Science in Engineering (MSE) from the University of Pennsylvania.

Recognized cybersecurity and IT Risk executive with a proven track record in managing global, cost-effective programs that meet business and regulatory requirements for large financial institutions. Partner with C-Level business, IT executives, auditors and regulators to direct and manage global teams that implement innovative security and risk solutions. Experienced in serving as a Board Member at Application Security Advisory Board and North American Advisory Council at ISC2. Accomplished speaker with experience presenting on topics such as: Application Security, IT Risk Management, Security Metrics at venues including: Department of Homeland Security, HMG Conference, Evanta and OWASP. Passion for cyber security extends to the classroom as an adjunct professor at Farleigh Dickinson University. With over 45 years of experience, DTCC is the premier post-trade market infrastructure for the global financial services industry. From 21 locations around the world, DTCC, through its subsidiaries, automates, centralizes and standardizes the processing of financial transactions, mitigating risk, increasing transparency and driving efficiency for thousands of broker/dealers, custodian banks and asset managers. Industry owned and governed, the firm simplifies the complexities of clearing, settlement, asset servicing, data management, data reporting and information services across asset classes, bringing increased security and soundness to financial markets.

John D'Agostino is an American business executive and entrepreneur. He is a senior advisor to Coinbase, Chairman of US Asset Management Committee for the Department for International Trade, a lecturer at MIT and Columbia, and a Harvard MBA graduate. He previously served as US Managing Director at the world's largest fund governance firm Waystone Governance, where he also served on the board of hedge funds providing independent oversight. He was previously a managing director at Alkeon Capital Management, a multibillion-dollar registered investment adviser. John served as VP and Head of Strategy for the New York Mercantile Exchange, where as part of the leadership team, he helped transition the floor to electronic trading. John is also known for his involvement in the early development of the Dubai Mercantile Exchange. John’s story was the focus of the book Rigged, the True Story of an Ivy League Kid who Changed the World of Oil by New York Times best-selling author Ben Mezrich. John was featured in "The Startup of You" by Reid Hoffman in 2012. He is the founder of Dagger LLC, a strategic consulting and advisory firm and in 2019 he was named Chair of the UK Consulate’s Financial Services Working Group.