Regulatory Reality:

NCUA


October 8, 2009  8:33 PM

The COBIT framework isn’t an audit solution



Posted by: David Schneier
Audit, COBIT, GLBA, ISACA, ITGI, NCUA, Regulatory Compliance, risk, risk assessment, Risk IT, SOX, Val IT

I have an associate who has an addiction to certifications. He’s one of those “too smart for his own good” geniuses who often decides to change his career course and starts by obtaining whatever accreditation or cert is needed to do so....

September 30, 2009  7:34 PM

Accountability key to banking recovery



Posted by: David Schneier
Audit, bank, banking, compliance, credit union, CU, DIF, FDIC, GLBA, NCUA, Regulatory Compliance

Every day, I receive a semi-deluge of industry related emails.  Between the various agencies, media sites, organizations and associations I tend to receive more communiqués than I know what to do with.  But I developed an interesting habit last year when the banking...


September 16, 2009  9:02 PM

Can the economy rebound without the banks?



Posted by: David Schneier
Audit, bank, compliance, credit, GLBA, NCUA, real estate, Regulatory Compliance

I had one of those odd moments yesterday regarding the banking industry that I wanted to share with you.

On the homepage of a major news website were two headline stories. The first was about how Ben Bernanke believes the recession we’re...


September 1, 2009  3:29 PM

IT audits versus reviews



Posted by: David Schneier
Audit, compliance, general controls, GLBA, governance, GRC, IT, ITGC, NCUA, Regulatory Compliance, risk, risk assessment

I had mentioned in my last post a recent conversation with my partner regarding a proposed IT general controls (ITGC) audit. My primary role in our practice is to head up regulatory compliance services which includes audits, assessments and program development; my...


May 20, 2009  7:31 PM

IT Security: Something has to give.



Posted by: David Schneier
Audit, FDIC, FFIEC, fraud, GLBA, NCUA, phishing, Regulatory Compliance

My practice has been busy lately helping a number of clients catch up on required tasks before their scheduled exams (it's a case of the old "if it wasn't for the last minute nothing would ever happen" philosophy).  And in authoring some of our reports we're identifying issues and gaps that are in...


April 27, 2009  5:28 PM

How’s your Pandemic Response Plan looking today?



Posted by: David Schneier
bcp, business continuity planning, FFIEC, GLBA, NCUA, pandemic, Regulatory Compliance

I started my day yesterday by finding my 12-year-old sitting with his eyes riveted on the laptop screen reading what I figured was something either on Facebook or a sports related website.  I only wish.  Turns out he was fixated on the breaking news covering the swine flu. Much like his...


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