• Big 4 (Final 4)

    The Big 4, also known as the Final 4, are the four largest international accounting and professional services firms.

  • Dodd-Frank Act

    The Dodd-Frank Act (fully known as the Dodd-Frank Wall Street Reform and Consumer Protection Act) is a federal law that places regulation of the financial industry in the hands of the government.

  • National Automated Clearing House Association (NACHA)

    The National Automated Clearing House Association (NACHA) is a not-for-profit trade association that develops operating rules and business practices for the nationwide network of automated clearing...

  • Data security implications of financial reform

    Industry experts weigh in on the possible ramifications of the sweeping legislation on information security and compliance professionals.

Auditing, testing and assessment for financial services compliance

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  • Red Flag Rules compliance strategies for the enterprise

    SearchFinancialSecurity.com presents a comprehensive guide to Red Flag Rules compliance. Our experts cover all the angles with authoritative technical advice on: using a risk-based approach for compliance; specific examples of red flags; clarificatio... 

  • Seven considerations when evaluating automated GRC tools

    Automated tools can help ease the compliance burden, but financial services firms must first weigh their needs. In this tip, David Strom looks at the top considerations when looking into buying a GRC tool. 

  • Vendor audit and monitoring contractual rights

    Federal regulations, state laws and industry standards all stress the need for financial institutions to audit and monitor third-party security as part of their vendor risk assessment. Consequently, third-party contracts must include vendor auditing ... 

  • Proper preparation necessary for successful penetration test

    Penetration testing can be a valuable tool for financial firms. Without proper preparations for penetration testing, however, the tool is rendered useless. In this tip, learn some important steps that financial firms should keep in mind for a success... 

  • Establishing a practical routine for reviewing security logs

    In this tip, security expert Lenny Zeltzer shares the joy that comes with correlating seemingly unrelated events, and offers helpful hints to make your log-reviewing efforts a success every time. 

  • FDIC guidance: Third party security risks are manageable

    FDIC guidance helps financial services firms effectively establish third-party security policies and manage third-party risk. 

  • Outsourcing compliance strategies

    The strain that compliance efforts can put on resources at financial services has led to an increase in compliance outsourcing. Expert Michael Rasmussen lays out strategies financial firms should (and shouldn't) do when outsourcing their compliance-r... 

  • Protecting third party processes on all levels

    Financial firms have numerous third party partnerships, but these partnerships come with security risks. Compliance expert Richard Mackey explains how to assess the risk and ensure your partnerships are secure. 

  • Outlining governance frameworks

    Every financial services firm must have a governance framework in place. The good news is there are a number of options when picking a one. This tip will outline the frameworks available and what every financial firm should consider when making the c... 

  • GRC software alleviates audit process for financial firms

    Financial firms of all sizes face challenges with collecting data for auditors. GRC software can help automate the process, but as Mike Rothman explains, it's not for everyone. 

  • Maintaining compliance in a world of constant change

    Robert Childs examines four steps information security practitioners can take to ensure that their compliance efforts are maintained and kept up-to-date. 

  • Federal Information Security Management Act (FISMA)

    The Federal Information Security Management Act (FISMA) is United States legislation that defines a comprehensive framework to protect government information, operations and assets against natural or man-made threats. 

  • Big 4 (Final 4)

    The Big 4, also known as the Final 4, are the four largest international accounting and professional services firms. 

  • Dodd-Frank Act

    The Dodd-Frank Act (fully known as the Dodd-Frank Wall Street Reform and Consumer Protection Act) is a federal law that places regulation of the financial industry in the hands of the government. 

  • international financial reporting standards (IFRS)

    International financial reporting standards (IFRS) are specific organizational and monetary standards and frameworks for financial reporting that have been adopted in 113 countries including India, Australia and the European Union. 

  • National Automated Clearing House Association (NACHA)

    The National Automated Clearing House Association (NACHA) is a not-for-profit trade association that develops operating rules and business practices for the nationwide network of automated clearing houses (ACHs) and for other areas of electronic paym... 

  • Common Vulnerabilities and Exposures (CVE)

    Common Vulnerabilities and Exposures (CVE) is a list of standard terms referring to security-related threats... (Continued) 

About Auditing, testing and assessment for financial services compliance

Audit, testing and assessment can be a source of major frustration and expense for many IT departments. Find resources on auditing, testing and assessment for financial services compliance including third-party and self-assessment advice and audit preparation help.