James Pappas is Managing Director of ACA Compliance Group. James has a history of leadership responsibilities as CEO and COO with experience in guiding business initiatives, identifying market opportunities, building investment product lines, leading staffing and executing profitable business initiatives, including the launch of a successful investment marketing startup. James has directed internal functions, including product development, investment operations, finance, legal, compliance and shareholder servicing. He held responsibility for external client management of Board of Trustees of investment products aggregating $80 billion in a complicated regulatory environment and sale of the company and also providing enterprisewide operational risk management assessment and oversight. James has served as a director of a family of public mutual funds, trustee of a large university foundation investment committee and chair of its audit and governance committee and risk management committee.
Askari Foy (MBA, CPA, CFE) is Head of the Global Regulatory Cybersecurity Practice at ACA Compliance Group. Askari has over 20 years of experience in the public and private sectors, including senior leadership positions. His specialties are executive leadership, business strategy, finance, corporate governance, enterprise risk management, regulatory compliance, financial statement analysis, information security and investment products and operations. Askari’s experiences include investment advisers, mutual funds, hedge funds, fund of funds, private equity funds, broker-dealers, transfer agents, national securities exchanges, clearing agencies, automated trading systems and banking institutions. He is an innovative, influential and successful leader committed to empowering others, implementing innovative strategies, building alliances and attaining organization goals.
Cybersecurity is one of the most daunting responsibilities mutual fund boards must confront, and so few on the board are well-versed in it. ACA Compliance Group’s James Pappas and Askari Foy discuss what’s needed to ensure the board understands the threats the organization faces. Imagine if you were tasked with understanding an element of your job outside of your job description, and...
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