Regulatory Compliance, Governance and Security:

May, 2009


May 31, 2009  3:33 PM

Policies and Procedures | SAS 70 | PCI DSS | An Auditor’s Viewpoint

Charles Denyer Charles Denyer Profile: Charles Denyer

Policies and Procedures-it's such a common theme and phrase in today's regulatory compliance and governance arena, so much so, i think it should have it's own Wikipedia page. It can be an arduous undertaking in developing these documents. Furthermore, policies and procedures are becoming...

May 30, 2009  8:26 PM

SAS 70 Control Objectives for Investment Advisers | Custodial Operations

Charles Denyer Charles Denyer Profile: Charles Denyer

The SEC released a draft of proposed changes regarding “Custody of Funds or Securities of Clients by Investment Advisers” (File No. S7-09-09), calling for more oversight and controls over...


May 30, 2009  7:59 PM

SAS 70 & Investment Advisers Act of 1940 | Proposed Changes

Charles Denyer Charles Denyer Profile: Charles Denyer

The SAS 70 auditing standard looks to become a vital component of the proposed changes for the Investment Advisers Act of 1940. In short, the recent scandals and ponzi schemes that resulted in the loss of billions of dollars for investors is receiving a wakeup call from the Securities and Exchange...


May 26, 2009  6:22 PM

PCI DSS Level 1 Compliance | Helpful Tips from a PCI QSA

Charles Denyer Charles Denyer Profile: Charles Denyer

Payment Card Industry Data Security Standards (PCI DSS) Level 1 compliance can be a very arduous, time-consuming and costly undertaking for any organization. However, there are a number of proactive steps that should be put in place for helping ensure an...


May 20, 2009  5:10 PM

PCI DSS Requirement 2 | Vendor Supplied Defaults | Expert Advice

Charles Denyer Charles Denyer Profile: Charles Denyer

PCI DSS Requirement 2 is the second out of 12 requirements of the PCI DSS initiatives. What's important to note about PCI DSS Requirement 2 is that it deals largely with removing vendor supplied default password before putting these new system components on the network in the cardholder...


May 17, 2009  9:36 PM

PCI DSS Compliance | Understanding Requirement 1

Charles Denyer Charles Denyer Profile: Charles Denyer

PCI DSS Compliance is growing at an astonishing rate for merchants and service providers throughout the country and the globe. Let's take some time to distill each of the twelve (12) core Payment Card Industry Data...

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May 13, 2009  7:44 PM

SAS 70 Audits for Data Centers | It’s a “SaaS”y Environment

Charles Denyer Charles Denyer Profile: Charles Denyer

SAS 70 audits are being performed at a record pace these days on data centers, managed service providers and co-location entities. The big question is why? Well, there are many general answers that we all hear, such as "Oh, it's just today's compliance...


May 10, 2009  2:59 PM

COSO | SAS 55 | SAS 70 | SAS 78 | Understanding the Relationship

Charles Denyer Charles Denyer Profile: Charles Denyer

COSO is a widely used and accepted internal control framework in today's growing corporate governance initiatives. It's also heavily found in Statement on Auditing Standards No. 70 (SAS 70) audits. The Committee of Sponsoring Organizations of the Treadway Commission (COSO) framework essentially...


May 9, 2009  9:49 PM

PCI DSS Self Assessment Questionnaire | Easier Said Than Done

Charles Denyer Charles Denyer Profile: Charles Denyer

PCI DSS Self Assessment questionnaires are used for the large and growing number of merchants who must comply with the Payment Card Industry Data Security Standards (PCI DSS). In short, compliance can be obtained by conducting a "Self Assessment". What's important to note, however, is that there...


May 8, 2009  11:47 AM

SAS 70 Audit and Compliance Tips for Data Centers

Charles Denyer Charles Denyer Profile: Charles Denyer

Learn more about SAS 70 audits for data centers by reviewing the step by step SAS 70 audit process. From beginning to end, a number of steps, activities, and deliverables must be undertaken for ensuring the audit is successful. From the...


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