March 15, 2011 9:58 PM
Posted by: David Schneier
Audit,
bank,
banking,
compliance,
credit union,
CU,
exam,
examiner,
FDIC,
GLBA,
NCUA,
OCC,
oversight,
regulations,
regulatory,
Regulatory ComplianceI was catching up on my industry emails the other day and buried in my FDIC email folder was Financial Institution Letter FIL-13-2011, sent out on March 1st. Truthfully I usually pay close attention to their Friday afternoon blasts regarding bank closings and only skim the rest. But this one...
March 8, 2011 4:58 PM
Posted by: David Schneier
assessment,
Audit,
bank,
banking,
compliance,
credit union,
CU,
exam,
examination,
examiner,
exams,
governance,
GRC,
regulation,
regulatory,
Regulatory Compliance,
risk,
risk assessmentWe were having an internal conversation this past week about governance, risk, and compliance (GRC) and I was asked about its role in the small and...
February 27, 2011 7:31 PM
Posted by: David Schneier
assessment,
Audit,
audit plan,
audit program,
CISA,
CISSP,
regulations,
Regulatory Compliance,
risk,
risk managementIt's been a while since my last post as I'm in hunker-down mode as we prepare our next compliance software offering for release. But in the midst of my coding/testing insanity, a conversation occurred that brought up the value of certifications that I haven't been able to completely let go...
February 10, 2011 4:07 PM
Posted by: David Schneier
bank,
banks,
credit union,
credit unions,
email,
Facebook,
FDIC,
LinkedIn,
NCUA,
regulations,
regulatory,
Regulatory Compliance,
social network,
social networking,
tweet,
tweeting,
Twitter,
webA few weeks back my wife asked me, as a favor, if I could join one of Facebook's community-based games because the more "neighbors" you have, the easier it is to succeed and so I did. Truthfully it was a rare moment of weakness for me because I tend to avoid those sort of things as if it were the...
January 29, 2011 1:34 AM
Posted by: David Schneier
assessment,
Audit,
bcp,
business continuity plan,
disaster recovery,
DR,
FDIC,
GLBA,
NCUA,
regulations,
regulatory,
Regulatory ComplianceSomething happened within our practice this past week that made me recall a story from the very beginning of my audit and compliance career. Way back in 1998 when I was first transitioning from being an application developer/manager to a compliance/audit professional, my first long term engagement...
January 17, 2011 1:55 PM
Posted by: David Schneier
bank closing,
bank closings,
banking,
banking crisis,
compliance,
FDIC,
FFIEC,
foreclosure,
GLBA,
NCUA,
regulatory,
Regulatory ComplianceAs my professional mind started winding down this evening in anticipation of the weekend, my thoughts started drifting towards yard work and time with the family. Then my Droid started chirping it's little sing-song of alerts as a round of emails hit my inbox and I was brought back to reality for a...
January 8, 2011 5:41 PM
Posted by: David Schneier
Audit,
bcp,
BIA,
business continuity plan,
business impact analysis,
exam,
examiners,
FFIEC,
GLBA,
regulatory,
Regulatory Compliance,
risk,
risk assessmentOne of the first things I had to work on this week (and thus one of the first things to work on in the new year) was finalizing a report from last year. The report covered the results of a Business Continuity Plan desktop test and the client needed some clarifications around the results.
I've...
December 28, 2010 8:55 PM
Posted by: David Schneier
assessment,
Audit,
cloud,
cloud computing,
data security,
data warehouse,
GLBA,
PCI,
regulatory,
Regulatory Compliance,
SOXIt's a popular time of the year for people like myself who publish any form of content to either reflect on the year that was or make predictions on the year that's to be. Confidentially those are typically easy pieces to write and I'm generally happy to take advantage of such opportunities....
December 10, 2010 6:45 PM
Posted by: David Schneier
assessment,
Audit,
FFIEC,
GLBA,
PCI,
red flags,
red flags identity theft,
regulatory,
Regulatory Compliance,
Security,
security awareness,
SOXSometime back in August I blogged about addressing outstanding compliance tasks before the year's end. We see it every year in my practice: Compliance and security folks wake up sometime right around now in a bit of a panic and realize that they're about to miss hitting on certain key regulatory...
