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Tag Archives: risk assessment

Cybersecurity: FINRA Guidance through 2018 Priorities and Recent Exam Findings

Posted in Cybersecurity, Financial Services Information Management, Information Management, Notification, Privacy

The Financial Industry Regulatory Authority (FINRA) is ramping up on their commitment to assist the industry in its cybersecurity compliance efforts. Recent guidance to the industry from FINRA includes:

  1. an Examination Findings Report, detailing observations from recent broker-dealer examinations
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Know Your Vendors: The Importance of Comprehensive Risk Assessment Programs

Posted in Financial Services Information Management, Information Management, Privacy

As companies continue to explore new outsourcing and cloud services models in search of improved cost and productivity efficiencies, service providers are being asked to handle increasingly sensitive types of data. However, some customers are not seeking heightened security measures … Continue Reading

White House Proposes Expansive Data Breach Notification Bill

Posted in Consumer Privacy/FTC, Data breach, Financial Services Information Management, FTC enforcement, Legislation, Other

Last week, President Obama proposed wide-reaching legislation to establish a uniform, nationwide standard for data breach notifications that envisions a significant enforcement role for the Consumer Financial Protection Bureau (CFPB). The proposal, titled the Personal Data Notification and Protection Act, … Continue Reading

Treasury: Ten Questions for Bank Executives and Boards of Directors

Posted in Data retention, Financial Services Information Management, Information Management, Other

On December 3, 2014, Sarah Raskin, Deputy Secretary of the U.S. Department of Treasury (Treasury), gave a speech before the Texas Banker’s Association Executive Leadership Cybersecurity Conference. Deputy Secretary Raskin’s remarks provide effective guidance for community bank chief executive officers, … Continue Reading

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