Regulatory Reality:

policy

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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...

September 21, 2012  3:44 PM

Are self-assessments the right way to go?



Posted by: David Schneier
assess, assessment, assessments, Audit, bank, banking, CISO, CISSP, compliance, compliance officer, compliant, credit union, credit unions, CU, disaster, disaster recovery, DR, enterprise risk, enterprise risk management, ERM, exam, examination, examinations, examiner, examiners, exams, framework, governance, GRC, guidance, information security, information security office, infrastructure, ISO, oversight, policy, procedure, regulation, regulations, regulations audit, regulatory, regulatory guidance, risk assess, risk assessment, risk assessments, risk management, risk-based, risks, technology

About a decade ago a family member chastised me for having an auto repair shop do my oil changes for me.  She (yeah, you’re reading that right – “she”) pointed out how ridiculously easy it was to drain the old oil, replace it with the new stuff and check a wide variety of fluid levels,...


July 21, 2012  8:25 PM

CFPB: Filling the regulatory void left by Sheila Bair



Posted by: David Schneier
Add new tag, assess, assessment, assessments, bank, banking, banking crisis, banks, community bank, compliance, compliance officer, compliant, control, credit, credit card, data security, Dodd-Frank, economy, enterprise risk, enterprise risk management, ERM, exam, examination, examinations, examiner, examiners, exams, Federal Reserve Bank, FFIEC, financial, financial institutions, framework, information security office, lending, LinkedIn, mortgage, NCUA, NCUA Sheila Bair, NPPI, observations, oversight, personally identifiable informaiton, PII, policy, privacy, procedure, regulation, regulations, regulations audit, regulatory, regulatory guidance, risk assess, risk assessment, risk assessments, risk management, risk-based, risks, security PII, Sheila Bair, social security numbers, technology, third party management, third party oversight, vendor, Vendor Management, vendor risk, vendor risk assessment

I was an unabashed fan of Sheila Bair and made no secret of that fact.  She was a breath of fresh air in a line of work where everything is stale and always at least a little boring.  Not that Martin Gruenberg is any less effective running the FDIC, he's just a whole lot less interesting to pay...


July 6, 2012  3:18 AM

Risk: The core issue behind regulatory requirements



Posted by: David Schneier
assess, assessment, assessments, Audit, audits, bank, banking, banks, compliance, compliant, control, credit union, credit unions, CU, enterprise risk, enterprise risk management, ERM, exam, examination, examinations, examiner, exams, FDIC, Federal Reserve Bank, FFIEC, financial institutions, framework, FRB, general controls, GLBA, governance, GRC, guidance, information security, information security office, infrastructure, NCUA, PII, policy, procedure, regulation, regulations, regulations audit, risk assessment, risk assessments, Risk IT, risk management, risk rating, risk-based, risks, threats, vendor, Vendor Management, vendor risk, vendor risk assessment

There's a joke of sorts within my personal circle of family and friends regarding what it is that I do these days.  Ask me and I'll tell you that I'm a regulatory compliance expert who advises financial institutions on how to comply with the myriad rules and regulations governing information...


October 29, 2009  5:23 PM

Regulatory compliance bits and bytes



Posted by: David Schneier
assessments, audits, bcp, business continuity planning, disaster recovery, DR, FDIC, general controls, GLBA, NCUA, NCUA Sheila Bair, Pandemic Planning, password, policy, procedure, Regulatory Compliance, risk assessments, SOX

Many years ago I found myself in one of those awkward moments where I needed to pay for something but didn’t have enough cash on hand to cover the bill. Rather than do the smart thing and find an ATM I instead elected to rip through my car and dig up all of the...


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