Regulatory Reality:

internal controls

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October 30, 2012  3:09 PM

Hurricane Sandy: An epic storm and the ultimate DR test



Posted by: David Schneier
Audit, audits, backup, bank, bank closing, bank closings, banking, banks, BIA, business, business continuity, business continuity plan, business impact analysis, community bank, disaster recovery, DR, examiners, internal audit, internal controls, ITGC, NCUA, pandemic, Pandemic Planning, policy, procedure, risk assess, risk assessment, risk assessments, risk management, risks

I've written similar posts in that past where I start off by apologizing for appearing opportunistic when leveraging a significant news event to generate site content.  However when considering roughly one-third of all my clients are dealing with Hurricane Sandy this represents a rare chance to...

October 22, 2012  2:09 PM

Are banks unfairly scrutinized?



Posted by: David Schneier
ACH, assess, assessment, assessments, Audit, auditor, audits, banking, banks, business, CISA, CISO, community bank, compliance, credit unions, CU, exam, examination, examinations, examiner, examiners, exams, FFIEC, financial institutions, general controls, GLBA, identify theft, identity theft, information security, information security office, Information Technology General Controls, internal audit, internal controls, ITGC, NPPI, observations, oversight, personally identifiable informaiton, PII, privacy, risk assess, risk assessment, risk assessments, risk management, risk-based, risks

A few years back when I first cut over to working somewhat exclusively with financial institutions I memorized an elevator speech that still somewhat defines who I am and what I do professionally.  Part of the speech pointed out that my firm helped "banks and credit unions meet regulatory...


February 3, 2012  5:58 PM

Governance, risk and compliance – related but not the same.



Posted by: David Schneier
Audit, auditor, compliance, controls, exam, examiner, FFICE, GLBA, governance, GRC, internal controls, NCUA, regulations, regulatory, Regulatory Compliance, risk

I was sitting in a meeting this week listening to a group of very bright people talking about an initiative centered on installing a software solution and I realized something rather disturbing; somewhere along the way in our industry governance, risk and compliance has started melting together and...


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