Compliance best practices

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  • Financial security tutorials's tutorials provide the in-depth information and instruction on topics related to information security at financial services firms. Through our tutorials we seek to provide site members with the foundational knowledge need... 

  • Download presentations from Financial Information Security Decisions 2010

    Learn from the industry's leading information security experts who gathered to share proven security strategies. If you couldn't make it to New York City for the event, you can catch up here. 

  • How to manage security risks in vendor contracts

    Financial institutions face numerous regulatory requirements for managing vendor risk. Learn what financial firms need to include in their vendor contracts in order to conform with regulatory guidance and industry best practices for vendor risk manag... 

  • Financial Information Security Decisions 2008: Presentation downloads

    Download a number of the fascinating presentations from the 2008 Financial Information Security Decisions conference. 

  • Data masking best practices for protecting sensitive information

    Protection of customer data is critical for financial services firms but encryption isn't the only option. Learn key considerations for data masking. 

  • Frameworks to support SOX compliance requirements

    Enterprises have had to deal with SOX regulatory compliance for several years, but many lack clear direction that will address SOX compliance requirements from an IT process perspective. Learn how enterprises can use IT and security tools within COSO... 

  • Best practices to secure wireless networks

    Wireless LANs have become pervasive in the enterprise, making it critical that financial services firms secure them to ensure they remain compliant with regulations for protecting customer data. In this tip, network security expert Lisa Phifer offers... 

  • Vendor risk management: process and documentation

    As part of the vendor risk management process, regulators expect information security officers will document vendor relationships and have proper vendor documentation. 

  • How to streamline role-based access control

    Tight budgets have forced financial-services firms to focus to look for innovative ways to improve their access control management process. In this tip, Jack Phillips explains how organizations are reducing the number or user roles in order to cut co... 

  • Five considerations for choosing network access control products

    Financial-services firms have unique network protection issues that require specific elements of NAC technology. In this tip, Jennifer Jabbusch describes top considerations, including network uptime, for financials to keep in mind when evaluating NAC... 

  • How to shift to centralized authentication and ease compliance

    An authentication framework based on a decentralized operational model is commonplace in the financial-services market, but complicates compliance. In this tip, Randall Gamby explains how financial companies can migrate to a centralized authenticatio... 

  • Social media: Risk management strategies for financial institutions

    Social media sites like Facebook and Twitter present financial institutions with reputational, liability and information security risks, making it critical that they adopt a comprehensive social media strategy. In this tip, Andrew M. Baer examines th... 

  • Using virtualization for compliance efforts

    Information security professionals at financial institutions deal with a myriad of regulatory requirements and many experts expect the compliance burden will grow in 2009 in the wake of last year's industry meltdown. To meet reporting and other audit... 

  • Using an information security council

    Getting cross-discipline cooperation for company-wide, security related policies is a challenge many financial firms face. Expert Eric Holmquist suggests creating an information security council to overcome this problem. In this tip, learn what attri... 

  • See more Tips on Compliance best practices
  • Benefits and cost savings of compliant security controls

    What are the benefits or cost savings of implementing security controls that are compliant with regulatory information security compliance requirements during the SDLC versus after an application is already in production or worse, after public disclo... 

  • four eyes principle

    The four eyes principle is a requirement that two individuals review and approve some action before it can be taken. In a business context, the two individuals are often the CEO and the CFO. However, the principle can be applied to decisions at all l... 

  • tokenization

    Tokenization is the process of replacing sensitive data with unique identification symbols that retain all the essential information about the data without compromising its security. 

  • 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... 

  • subpoena

    A subpoena is a command issued by a court in which a person or corporation is required to physically appear before, or produce specific evidence to, that court... (Continued) 

  • corporate governance

    Corporate governance is a term that refers broadly to the rules, processes, or laws by which businesses are operated, regulated, and controlled... 

  • Anti-money laundering compliance trends

    In this 11-minute podcast, Neil Katkov, senior vice president at Celent, talks about anti-money laundering compliance trends, including how much companies are spending on their AML programs and what they should look for when evaluating AML software. 

  • Seven GRC best practices for information security

    Learn the seven most important practices to use when implementing governance, risk and compliance at your enterprise. 

  • Keeping up with state data protection laws

    In addition to regulatory requirements and industry standards, financial institutions need to comply with applicable state data protection laws. In this podcast, legal expert Andrew Baer discusses new requirements in Massachusetts, Nevada and Califor... 

About Compliance best practices

Compliance keeps financial industry professionals on their toes. Keep up with compliance spending, new regulations and what your peers are doing. Check out our financial services compliance best practices and learn about security and privacy safeguards, and how to keep the cost of compliance down.